STEPHEN JOHN CASWELL (Adviser# 001001340) is a financial adviser registered with Australian Securities and Investments Commission (ASIC), Financial Advisers Register. The adviser role status is Current. The adviser start date is July 3, 2014.
| Register Name | Financial Advisers |
| Adviser Name | STEPHEN JOHN CASWELL |
| Adviser Number | 001001340 |
| Adviser Role | Financial Adviser |
| Adviser Role Status | Current |
| Adviser First Advice Year | 1985 |
| Financial Service (AFS) Licence |
Licence# 000458115 TRADE WIND FINANCIAL SERVICES PTY LTD |
| Licence ABN | 40147903526 |
| Adviser Start Date | 2014-07-03 |
| Appointing Representative Name | TRADE WIND FINANCIAL SERVICES PTY LTD |
| Appointing Representative Number | 000458115 |
| Appointing Representative ABN | 40147903526 |
| Memberships |
Institute of Public Accountants (IPA) International Federation of Accountants (IFAC) |
|
| Qualification / Degree | Institute / School |
|---|---|
| Advanced Diploma of Financial Planning | Deakin University |
| Bachelor of Business | Finance & Economics - University of Technology Sydney |
| Licence Number | Licence Name | Adviser Date | Appointing Representative |
|---|---|---|---|
| 000458115 | TRADE WIND FINANCIAL SERVICES PTY LTD | 2014-07-03 - | TRADE WIND FINANCIAL SERVICES PTY LTD |
| 000237846 | POYNTER HARGRAVES FINANCIAL CONSULTANTS PTY LTD | 2011-02-16 - 2014-05-19 | STEPHEN CASWELL |
| 000277019 | CASWELL & ASSOCIATES PTY LTD | 2004-09-13 - 2011-06-16 |
| Licence Name | TRADE WIND FINANCIAL SERVICES PTY LTD |
| Licence Number | 000458115 |
| Licence ABN | 40147903526 |
| Adviser Name | Licensee | Status | Start Date |
|---|---|---|---|
| STEVEN SOTOGI | Trade Wind Financial Services Pty Ltd | Current | 2018-08-23 |
| QUIDDITY JADE FALEVAAI | Trade Wind Financial Services Pty Ltd | Current | 2018-07-19 |
| LUIGI STANZIANO | Trade Wind Financial Services Pty Ltd | Current | 2017-10-26 |
| JASON DIXON | Trade Wind Financial Services Pty Ltd | Current | 2017-10-18 |
| JONATHAN MICHAEL MAXTED | Trade Wind Financial Services Pty Ltd | Current | 2017-10-18 |
| Adviser Name | Licensee | Status | Start Date |
|---|---|---|---|
| STEVEN SOTOGI | Trade Wind Financial Services Pty Ltd | Current | 2018-08-23 |
| QUIDDITY JADE FALEVAAI | Trade Wind Financial Services Pty Ltd | Current | 2018-07-19 |
| LUIGI STANZIANO | Trade Wind Financial Services Pty Ltd | Current | 2017-10-26 |
| JASON DIXON | Trade Wind Financial Services Pty Ltd | Current | 2017-10-18 |
| JONATHAN MICHAEL MAXTED | Trade Wind Financial Services Pty Ltd | Current | 2017-10-18 |
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| Data Provider | Australian Securities and Investments Commission (ASIC), Financial Advisers Register |
| Jurisdiction | Australia |
| Related Datasets | Australian Businesses, Australian Companies |
This dataset includes 33 thousand financial advisers registered with Australian Securities and Investments Commission (ASIC), Financial Advisers Register. Australian Financial Services Licensees are required to keep the details of their financial advisers up to date on ASIC's Financial Advisers 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.