BROOKFIELD CAPITAL SECURITIES LIMITED

address: Sydney, NSW 2001, Australia

BROOKFIELD CAPITAL SECURITIES LIMITED (Licence# 000226442) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is April 17, 2003.

Service Overview

Register NameAFS Licence
Licence NameBROOKFIELD CAPITAL SECURITIES LIMITED
Licence Number000226442
Licence ABN 13103736081
Issue Date2003-04-17
LocalitySYDNEY
StateNSW
Postcode2001
CountryAustralia

Licence condition

This licence authorises the licensee to carry on a financial services business to:
  • provide general financial product advice for the following classes of financial products:
    • interests in managed investment schemes excluding investor directed portfolio 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:
      • derivatives;
      • foreign exchange contracts;
      • interests in managed investment schemes excluding investor directed portfolio 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 including:
        • basic deposit products;
        • deposit products other than basic deposit products; and
        • non-cash payment products;
      • derivatives;
      • foreign exchange contracts;
      • general insurance products;
      • debentures, stocks or bonds issued or proposed to be issued by a government;
      • interests in managed investment schemes excluding investor directed portfolio services; and
      • securities; and
    • underwriting:
      • interests in managed investment schemes;
  • operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
    • schemes which only hold the following types of property:
      • derivatives;
      • direct real property; and
      • financial assets; and
  • provide the following custodial or depository services:
    • operate custodial or depository services other than investor directed portfolio services;
      to wholesale clients.

      Office Location

      LocalitySYDNEY
      StateNSW
      Postcode2001
      CountryAustralia

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      Postal Code 2001

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      Dataset Information

      Data ProviderAustralian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register
      JurisdictionAustralia
      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.

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