VERTICAL CAPITAL MARKETS PTY. LTD.


Address: Sydney, NSW 2000, Australia

VERTICAL CAPITAL MARKETS PTY. LTD. (Licence# 000418418) is an Australian financial service (AFS) licenced with Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register. The licence issue date is July 2, 2012.

Service Overview

Register Name AFS Licence
Licence Name VERTICAL CAPITAL MARKETS PTY. LTD.
Licence Number 000418418
Licence ABN 11147186114
Issue Date 2012-07-02
Locality SYDNEY
State NSW
Postcode 2000
Country Australia

Licence condition

This licence authorises the licensee to carry on a financial services business to:
  • provide financial product advice for the following classes of financial products:
    • deposit and payment products limited to:
      • basic deposit products;
    • derivatives;
    • foreign exchange contracts;
    • life products including:
      • investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
      • life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
    • interests in managed investment schemes limited to:
      • MDA services;
    • securities;
    • standard margin lending facility; and
    • superannuation; and
  • 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 limited to:
        • MDA services; and
      • securities; and
    • 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 limited to:
        • basic deposit products;
      • derivatives;
      • foreign exchange contracts;
      • life products including:
        • investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
        • life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
      • interests in managed investment schemes limited to:
        • MDA services;
      • securities;
      • standard margin lending facility; and
      • superannuation;
to retail and wholesale clients.

Financial advisers

Adviser Number Adviser Name Status Start Date
001258083 YAISHVI ROOPNARAIN Current 2017-07-11
001001788 STEVAN ADZIC Ceased 2017-06-08
001008625 ARI BEN MOSES Ceased 2016-09-19
001248394 MEENA ANTHONY AWAD Ceased 2016-09-19
001248320 ANDREA JONATHAN SHERSHOFF Ceased 2016-09-19
001001788 STEVAN ADZIC Ceased 2016-09-19
001238721 JAMES PETER WHELAN Current 2016-03-17
000409488 RENERA JOSEPHINE THOMPSON Ceased 2016-01-01
000270730 MICHAEL DULIEU Current 2014-02-03
000409210 MARTIN ALEXANDER WOODS Current 2014-02-03

Office Location

Locality SYDNEY
State NSW
Postcode 2000
Country Australia

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Competitor

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Postal Code 2000

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Dataset Information


Data Provider Australian Securities and Investments Commission (ASIC), Australian Financial Services Licensee Register
Jurisdiction Australia
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.