How to register a financial adviser with ASIC

Download the full user guide (including screenshots) as a PDF (2.6 MB)

Use ASIC Connect to register a financial adviser (including time-share advisers). Provisional financial advisers cannot be registered.

You can apply to register up to 25 financial advisers per transaction.

Further assistance on using ASIC Connect is available via the Help button at the top right of the screen.

If you’re unable to select the next button, please ensure you have provided all mandatory information on the screen.

Visit our support page for more user guides about ASIC Connect transactions.

Get started

To get started, visit the ASIC website at asic.gov.au.
Click on the blue ASIC Connect box. This will take you to ASIC Connect.

Log in

If you have an ASIC Connect account, select ‘Log in’.
Log in using your email address and password.
If you do not have an ASIC Connect account, select ‘Sign up’.

You can refer to our user guides:

Home

Once you have logged in, the home screen will be visible.

Select ‘Lodgements & Notifications’ to register a financial adviser.
Select the radio button next to the financial adviser you want to register.
In the transactions column, select Registration of relevant providers. This is the name of the transaction you use to register a financial adviser (including time-share advisers).
Select ‘Go’ to proceed.

You can apply to register a financial adviser who is also an AFS licensee and/or a financial adviser who is not an AFS licensee using this form.

You can only apply to register a financial adviser (including a time-share adviser) after you have appointed the adviser to the Financial Advisers Register.

Ensure that you have the key information required to progress with the registration application.

Select ‘Next’ to continue.

You need to provide the representative number of the financial adviser you are applying to register.

Enter the representative number of the financial adviser you are applying to register into the box.

If you are not sure of their number, select the link ‘Search Financial Advisers Register’ to search the Financial Advisers Register for the number.

Select ‘Next’ to continue.

Contact details

Address

Enter the principal place of business for the financial adviser you are applying to register.
Select the ‘Edit’ button to add or amend the principal place of business.

Email

Enter the email address for the financial adviser you are applying to register.
Select the ‘Edit’ button to add the email address.

This email address will be used to send ASIC notices and correspondence only. It will not be available to the public.

Phone number

Enter the phone for the financial adviser you are applying to register.
Select the ‘Edit’ button to add or amend the phone number.
Select ‘Next’ to continue.

Declarations

You must provide certain declarations for each financial adviser you are applying to register.

Select the radio button next to the declaration you want to make.
Select ‘Next’ to continue.

For additional information or guidance on the declarations required by the AFS licensee or the financial adviser, see Information Sheet 277 Registration of relevant providers: Guidance on making declarations (INFO 277).

Review

Check that the information you have entered is correct.

Select ‘+Another’ to add more financial advisers. You can apply to register up to 25 financial advisers per transaction.
Select ‘Edit/Review’ if incorrect information has been entered for a financial adviser.
Select ‘Remove’ to remove financial advisers.
When all financial advisers have been added correctly, select ‘Next’ to continue.

Declarations

Read the declaration to ensure that you agree with the conditions of the transaction.

If you agree, tick the boxes next to the declaration to proceed.
Select your authority for submitting the transaction.
Select ‘Next’ to continue.

Payment

You can pay immediately using a credit card, or at a later date using BPAY or by requesting an invoice to be sent to you.

To pay by credit card:

Select the ‘Pay Now’ option.
Select ‘Pay Now’ to continue.
Enter your credit card details.
Select ‘Submit’ to process the payment.

To pay by BPAY or by requesting an invoice.

Select the ‘Pay Later’ option.
Select the ‘Invoice’ or ‘BPAY’ option.

If you select ‘Invoice’ it will be sent to the email address of the AFS licensee, if one has been provided. Otherwise, it will be sent to the registered office.

If you select ‘BPAY’ you will need to print or make note of the BPAY details and process your payment.

Confirmation

This screen confirms your transaction has been submitted.

Select ‘Print the transaction’ to download a printable PDF version of the transaction.
Select one of the links under What else can I do for more information about other services.
Select ‘Home’ to return to the ASIC Connect home page.

Notice of registration

As soon as practicable after the registration of the financial adviser is recorded on the Financial Advisers Register, ASIC will give a written notice of the registration to the financial adviser and the registering AFS licensee. ASIC will send the notice of the registration by email.

Notice of refusal

If an application for registration is refused, ASIC will, within five business days of the decision to refuse the application, give a written notice of the refusal to the financial adviser and, if applicable, to the registering AFS licensee, and specify the grounds for the refusal. ASIC will send the written notice of refusal by email.