PHILLIP CAPITAL LIMITED


Address: Melbourne, VIC 3000, Australia

PHILLIP CAPITAL LIMITED (Licence# 000246827) 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 PHILLIP CAPITAL LIMITED
Licence Number 000246827
Licence ABN 14002918247
Issue Date 2004-03-01
Pre FSR Pre FSR (Financial Services Reform) Role and Licence Number:
SecDlr 011861
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;
    • foreign exchange contracts;
    • debentures, stocks or bonds issued or proposed to be issued by a government;
    • life products including:
      • investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
      • life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
    • interests in managed investment schemes including:
      • investor directed portfolio services;
      • interests in managed investment schemes limited to:
      • MDA services;
      • securities;
      • standard margin lending facility;
      • superannuation; and
      • financial products limited to miscellaneous financial investment products limited to managed investment warrants:
    • to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
    • that is transferable; and
    • that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
  • 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;
      • foreign exchange contracts;
      • interests in managed investment schemes excluding investor directed portfolio services;
      • interests in managed investment schemes limited to:
        • MDA services;
      • securities; and
      • financial products limited to miscellaneous financial investment products limited to managed investment warrants:
        • to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
        • that is transferable; and
      • that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
    • 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;
      • foreign exchange contracts;
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • life products including:
        • investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
        • life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
      • interests in managed investment schemes including:
        • investor directed portfolio services;
        • interests in managed investment schemes limited to:
        • MDA services;
        • securities;
        • standard margin lending facility;
        • superannuation; and
        • financial products limited to miscellaneous financial investment products limited to managed investment warrants:
      • to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
      • that is transferable; and
      • that is a warrant as defined in the Operating Rules of a financial market that is operated by an Australian market licensee and has been admitted to trading status or quotation on a financial market in accordance with the Operating Rules of the financial market;
    • underwriting:
      • interests in managed investment schemes; and
      • an issue of securities;
  • make a market for the following financial products:
    • foreign exchange contracts; and
    • derivatives; 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
      001004753 MARK WILSON WISEMAN Current 2018-06-29
      001252557 LAY CHIENG CHYE Ceased 2017-03-01
      000433138 MICHAEL CORI Ceased 2017-01-30
      000270538 NICK KATIFORIS Ceased 2017-01-23
      001251448 ERWIN JOSEPH TAN Ceased 2017-01-18
      001009435 RAHN CATO Ceased 2016-10-26
      000337653 JEAN-FRANCOIS BERTINCOURT Ceased 2016-09-22
      001247985 LACHLAN GRAEME OWEN Ceased 2016-09-19
      001234290 DAVID XI ZHU Ceased 2016-09-13
      001247860 LACHLAN GRAEME OWEN Ceased 2016-09-12

      Office Location

      Locality MELBOURNE
      State VIC
      Postcode 3000
      Country Australia

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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.