David John Swain – Financial Adviser

Adviser identifying number: 1002404
Status: Current
Adviser’s ABN:
The year the Financial Adviser first provided advice: 1990

Name of the licence holder: BELL POTTER SECURITIES LIMITED
Licence number: 243480
Licensee’s ABN: 25006390772
Licence controlled by: BELL FINANCIAL GROUP LIMITED

The date the Financial Adviser commenced the appointment: 26/11/2008
The date the Financial Adviser ceased the appointment:
Name of the Authorised Representative: BELL POTTER SECURITIES LIMITED
Authorised Representative identifying number: 243480
Authorised Representative’s ABN: 25006390772

Disciplinary actions start date against the Financial Adviser:
Disciplinary actions end date against the Financial Adviser:
Disciplinary action type:

Address:
Contact phone number:
Working hours:

Relevant qualifications and training:

• ASX Accredited Derivatives Adviser Level 1 – Kaplan Education Pty Ltd
• ASX Accredited Derivatives Adviser Level 2 – Kaplan Education Pty Ltd
• Margin Lending and Geared Investments – Kaplan Education Pty Ltd
• SDIA Accreditation Program Assessment – SDIA / Deakin University
• Tier 1 Compliance Program – Superannuation – RMIT Business TAFE

Relevant memberships of professional bodies or industry associations: Stockbrokers Association of Australia

David John Swain is authorised to provide advices on following products:

• Deposit and Payment Products / Non-basic Deposit Products
• Derivatives
• Government Debentures, Stocks or Bonds
• Managed Investment Schemes / Managed Investment Schemes, including IDPS
• Securities
• Superannuation
• Margin Lending Facility / Standard Margin Lending Facility