BAKER YOUNG STOCKBROKERS LIMITED


Address: Adelaide, SA 5000, Australia

BAKER YOUNG STOCKBROKERS LIMITED (Licence# 000246735) 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 10, 2004.

Service Overview

Register Name AFS Licence
Licence Name BAKER YOUNG STOCKBROKERS LIMITED
Licence Number 000246735
Licence ABN 92006690320
Issue Date 2004-03-10
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 013040
Locality ADELAIDE
State SA
Postcode 5000
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 limited to:
      • old law securities options contracts and warrants;
    • debentures, stocks or bonds issued or proposed to be issued by a government;
    • interests in managed investment schemes excluding investor directed portfolio services;
    • interests in managed investment schemes limited to:
      • MDA services; and
    • securities;
  • 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:
      • deposit and payment products limited to:
        • basic deposit products;
      • deposit products other than basic deposit products;
      • derivatives limited to:
        • old law securities options contracts and warrants;
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • interests in managed investment schemes excluding investor directed portfolio services;
      • interests in managed investment schemes limited to:
        • MDA services; 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 limited to:
        • old law securities options contracts and warrants;
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • interests in managed investment schemes excluding investor directed portfolio services;
      • interests in managed investment schemes limited to:
        • MDA services; and
      • securities; and
    • underwriting:
      • interests in managed investment schemes; and
      • an issue of securities; and
  • provide the following custodial or depository services:
    • operate custodial or depository services other than investor directed portfolio services;
      to retail and wholesale clients.

      Financial advisers

      Adviser Number Adviser Name Status Start Date
      001004574 NICHOLAS RATHJEN Ceased 2012-03-01
      001004593 ANDREW TATE Ceased 2010-03-01
      001004518 RYAN BAMFORD Ceased 2010-03-01
      001003120 ANDREW TATE Ceased 2010-03-01
      001005522 THOMAS HUXTABLE Ceased 2010-01-01
      000466493 THOMAS LAMBERT Ceased 2009-01-09
      001004529 GRANTLEY FRASER Ceased 1999-09-01
      000308990 HUAN SHIN TOH Ceased 1999-05-19

      Office Location

      Locality ADELAIDE
      State SA
      Postcode 5000
      Country Australia

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      Postal Code 5000

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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.