James Peter Whelan – Financial Adviser

Adviser identifying number: 1238721
Status: Current
Adviser’s ABN:
The year the Financial Adviser first provided advice: 2005

Name of the licence holder: VERTICAL CAPITAL MARKETS PTY. LTD.
Licence number: 418418
Licensee’s ABN: 11147186114
Licence controlled by:

The date the Financial Adviser commenced the appointment: 17/03/2016
The date the Financial Adviser ceased the appointment:
Name of the Authorised Representative: VERTICAL CAPITAL MARKETS PTY. LTD.
Authorised Representative identifying number: 418418
Authorised Representative’s ABN: 11147186114

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 (ADA1) – Stockbrokers Association Australia
• ASX Accredited Derivatives Adviser Level 2 (ADA2) – Stockbrokers Association Australia
• Core 1 Securities & Managed Investments Accreditation Program – RG146 – Stockbrokers Association of Australia
• Graduate Diploma of Applied Finance – Kaplan
• RG146 Specialist Knowledge – Managed Investments – Financial Education Professionals

Relevant memberships of professional bodies or industry associations:

James Peter Whelan is authorised to provide advices on following products:

• Derivatives
• Managed Investment Schemes / MDA Services
• Securities