For Sale: AFSL Licensed Firm – Wholesale & Retail Advisory Coverage

We are pleased to present an Australian Financial Services License (AFSL) firm, fully authorized and in excellent regulatory standing. The entity has a clean compliance record, with 2 Responsible Managers in place, and is ready for seamless transfer to new ownership.

Authorisations

Financial Product Advice

• To wholesale clients for:
   ▪ Basic deposit products
   ▪ Derivatives
   ▪ Foreign exchange contracts
   ▪ Interests in managed investment schemes (excluding IDPS)
   ▪ Securities
• To retail clients (general advice only) for:
   ▪ Derivatives
   ▪ Interests in managed investment schemes (excluding IDPS)
   ▪ Securities

Dealing in Financial Products (Wholesale Clients Only)

• Acting on behalf of others in:
   ▪ Basic deposit products
   ▪ Derivatives
   ▪ Foreign exchange contracts
   ▪ Interests in managed investment schemes (excluding IDPS)
   ▪ Securities

Responsible Managers

• 2 Responsible Managers currently in place

⚖️ Compliance

• Clean compliance record
• No fines, enforcement actions, or inherited issues

Asking Price: Available upon request

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