James Rosenberg – Financial Adviser

Adviser identifying number: 1005261
Status: Current
Adviser’s ABN:
The year the Financial Adviser first provided advice: 1996

Name of the licence holder: BAILLIEU HOLST LTD
Licence number: 245421
Licensee’s ABN: 74006519393
Licence controlled by:

The date the Financial Adviser commenced the appointment: 27/01/2016
The date the Financial Adviser ceased the appointment:
Name of the Authorised Representative: BAILLIEU HOLST LTD
Authorised Representative identifying number: 000245421
Authorised Representative’s ABN: 74006519393

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:

• Deposit Products and Non-Cash payments – Financial Education Professionals
• Margin Lending and Geared Investments – Kaplan
• Tier 1 Compliance Solution – Managed Investments – Kaplan

Relevant memberships of professional bodies or industry associations:

James Rosenberg is authorised to provide advices on following products:

• Deposit and Payment Products / Non-basic Deposit Products
• Foreign Exchange Contracts
• Government Debentures, Stocks or Bonds
• Managed Investment Schemes / Managed Investment Schemes, including IDPS
• Managed Investment Schemes / MDA Services
• Securities
• Margin Lending Facility / Standard Margin Lending Facility
• Miscellaneous Financial Facility / Miscellaneous Financial Investment Products – MDA Services
• Old Law Securities Options Contracts and Warrants Securities