Financial advisers register
Check a financial adviser
This is a register of people who provide personal advice on
investments, superannuation and life insurance. Use this register
to find out where a financial adviser has worked, their
qualifications, training, memberships of professional bodies and
what products they can advise on.
To help you make the right decision about a financial adviser,
read our choosing an adviser page.
Advisers banned before 2015
Advisers who were banned or disqualified, or
who entered into an enforceable undertaking, prior to 31 March 2015
and who have not re-entered the advice industry are not on the
Financial Advisers Register. They are on ASIC's Banned or Disqualified
Register or Enforceable Undertakings Register.
Important information about the financial advisers
- The information on the register is provided by financial advice
businesses (licensees and/or authorised
representatives). ASIC does not check or review the information
before it is put on the register.
- Financial advisers on this register provide personal advice on
investments, superannuation and life insurance (i.e. financial
advice that is specific to your needs and circumstances).
- If you have any questions about the financial adviser that are
not addressed by this register, please contact the business they
work for directly.
- We encourage you to give us feedback to help us improve the
register. See our frequently asked questions to
find out how.
Data shown on this search is the result of lodgements from
Australian Financial Services (AFS) Licensees and authorised
representatives in accordance with their obligations under
the Corporations Act 2001 and Corporations Regulations 2001.
A licensee has provided incorrect or misleading information on
the register. How do I let ASIC know?
The information on the register is provided by licensees. They
are obliged to ensure that information about their financial
advisers is true and correct.
If you think the information is incorrect or misleading, please
submit an online inquiry form. Please
include the financial adviser's name and number, details about the
information you think is incorrect and what it should be.
I am a financial adviser and my details on the register are
incorrect. How can I change these?
You can notify ASIC about changes or corrections to your details
through ASIC Connect.
How can I give feedback to improve use of the register?
We encourage you to give us feedback to help us improve the
register. Use MoneySmart's feedback form to do
There are too many results shown when I search for an adviser's
name. How do I know which one to select?
You will need to get more details from your financial adviser,
such as their representative number or Australian Business Number
and use these to find them on the register.
The financial adviser I am looking for is not showing on the
register. Should I deal with them?
Financial advisers who provide personal advice on
investments, superannuation and life insurance should appear
on this register. Personal advice takes into account your
particular circumstances, such as your objectives, financial
situation and needs.
If the financial adviser is not on the register, it could mean
they are only providing services outside the scope of the register
or are not operating properly under a licence. You could ask them,
or the business they work, for why they are not listed on this
A financial adviser who is operating properly under a licence is
one who holds an Australian Financial Services (AFS) licence or is
employed by or authorised to represent a business that holds an AFS
You can check the licensee's name on ASIC Connect's
What is the difference between personal advice and general
Personal advice takes into account your particular
circumstances, such as your objectives, financial situation and
needs. General advice does not take these things into account and
is only general information about money matters.
Our financial advice toolkit
explains the steps involved with each stage of the financial advice
process - from preparing to meet an adviser, through to reviewing
and implementing financial advice.
How do I find a financial adviser in my area?
Addresses for financial advisers are not shown in this register.
See choosing a financial adviser for
tips on how to find an adviser in your area.
Can ASIC recommend a financial adviser? How can I tell who is
ASIC does not endorse or recommend financial advisers. See choosing a financial adviser for
tips on how to find the right adviser for you.
What does it mean if the financial adviser has disciplinary
actions by ASIC recorded against them?
This register is required to show whether:
- an adviser has been banned from providing financial
- an adviser has been disqualified from managing
- ASIC has accepted an enforceable undertaking from the adviser
to do or not do certain things
- an adviser has been banned or disqualified from engaging in
- an adviser has been disqualified from being an approved SMSF
These disciplinary actions are generally taken by ASIC because
an adviser has broken the law. You can find out more about bannings and
actions on the ASIC website.
How do I check what products my financial adviser can advise
The register lists the product types an adviser is able to
provide advice on. Check the financial services guide provided by
your adviser to find out more about the products they can advise
My adviser has recommended an investment product that does not
match the product type on the register. What should I do?
The register lists product types an adviser is able to provide
advice on, rather than specific names of investment products. You
can ask your adviser the product type for the recommended product.
You can also check this in any statements of advice or the
financial services guide from your adviser. If you believe your
adviser has recommended a product outside the product types on
which they can advise, you should make a complaint to their
licensee or employer, or contact ASIC by submitting
an online inquiry form with the
Does ASIC check the information provided on the register?
No, it is the licensee's legal obligation to ensure the
information provided on the register is true and correct.
However, ASIC is checking whether financial advisers have been
banned and had any other disciplinary action by ASIC. The register
displays this information.
ASIC may take action if information on the register is proven to
be misleading or incorrect.
A financial adviser has given me bad advice. How do I lodge a
See problems with a
financial adviser for guidance on how to deal with bad
How often is the data updated?
The search data is updated when ASIC is notified that the
information has changed.
Last updated: 18 Jan 2017