ASCOT SECURITIES PTY LTD


Address: Melbourne, VIC 3000, Australia

ASCOT SECURITIES PTY LTD (Licence# 000246718) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is March 1, 2004.

Service Overview

Register Name AFS Licence
Licence Name ASCOT SECURITIES PTY LTD
Licence Number 000246718
Licence ABN 45075902206
Issue Date 2004-03-01
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 166798
Locality MELBOURNE
State VIC
Postcode 3000
Country Australia

Licence condition

This licence authorises the licensee to carry on a financial services business to:
  • provide financial product advice for the following classes of financial products:
    • deposit and payment products limited to:
      • basic deposit products;
    • deposit products other than basic deposit products;
    • derivatives;
    • debentures, stocks or bonds issued or proposed to be issued by a government;
    • interests in managed investment schemes including:
      • investor directed portfolio services;
      • securities; and
      • standard margin lending facility; and
  • deal in a financial product by:
    • issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
      • derivatives; and
      • securities;
    • applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
      • deposit and payment products limited to:
        • basic deposit products;
      • deposit products other than basic deposit products;
      • derivatives;
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • interests in managed investment schemes including:
        • investor directed portfolio services;
        • securities; and
        • standard margin lending facility; and
    • underwriting:
      • interests in managed investment schemes; and
      • an issue of securities;
to retail and wholesale clients.

Financial advisers

Adviser Number Adviser Name Status Start Date
001006856 TIMOTHY RADFORD Ceased 2016-08-08
001243616 HENRY FUNG Ceased 2016-06-29
000288841 EVAN MCQUIRE Ceased 2016-04-27
000259419 SEAN JOHN SANDILANDS Ceased 2016-04-14
001009205 PETER MATHIAS Ceased 2015-06-11
000470839 SCOT ANDREW BURTON Current 2014-12-15
000467438 PETER WILLIAM DICK Current 2014-10-23
000284343 DARREN SHEPPARD Ceased 2005-02-01

Office Location

Locality MELBOURNE
State VIC
Postcode 3000
Country Australia

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TUXEDO MONEY PTY. LTD. 2018-06-13 Melbourne, VIC 3000, Australia
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APOLLO LEAGUE PTY LTD 2018-05-08 Melbourne, VIC 3000, Australia
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Competitor

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Postal Code 3000

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Dataset Information


Data Provider Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register
Jurisdiction Australia
Related Datasets Australian Businesses, Australian Companies

This dataset includes 33 thousand financial advisers registered with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. Australian Financial Services Licensees are required to keep the details of their financial advisers up to date on ASIC's Financial Services Register. Each financial adviser is registered with name, number, role status, ABN, first advice year, licence name and number, licence ABN, adviser start date and end date, appointing representative, disciplinary action, product authorisations, qualifications and training, memberships, etc.