SOVEREIGN FINANCIAL GROUP PTY LTD


Address: Melbourne, VIC 3000, Australia

SOVEREIGN FINANCIAL GROUP PTY LTD (Licence# 000383416) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is November 22, 2010.

Service Overview

Register Name AFS Licence
Licence Name SOVEREIGN FINANCIAL GROUP PTY LTD
Licence Number 000383416
Licence ACN 125328289
Issue Date 2010-11-22
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;
    • 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;
      • retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
      • securities;
      • standard margin lending facility; and
      • superannuation; and
  • deal in a financial product by:
    • 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;
      • 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;
        • retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
        • securities;
        • standard margin lending facility; and
        • superannuation;
to retail and wholesale clients.

Financial advisers

Adviser Number Adviser Name Status Start Date
001255048 VERONICA MAREE MASON Ceased 2017-03-01
001252198 NATHAN KANE WRIGHT Current 2017-02-01
001003615 ANITA MAREE RODD Current 2014-10-01
001003614 JOHN MURPHY Current 2012-09-03
001003611 SARAH CONNOLLY Current 2012-08-21
001003612 CHRISTOPHER DIMATTINA Current 2011-07-08
001003613 DAMIEN SMITH Ceased 2011-07-01
000259097 RAJINDER SINGH MUKER Ceased 2010-12-01
001003608 JEROME PETER SMITH Current 2010-11-22
001003609 LEIGH MARRIOTT Current 2010-11-22

Office Location

Locality MELBOURNE
State VIC
Postcode 3000
Country 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.