Download this database for offline use

Alpha Securities Pty ltd

AFS License Number
330757
Name
Alpha Securities Pty ltd
ABN/ACN/ARBN
96124327064
Licensee issued
Nov. 6, 2008
Address
Sydney, 2000, NSW

Licence conditions

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;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
non-standard margin lending facility; and
standard margin lending facility;
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 including:
investor directed portfolio services; and
interests in managed investment schemes limited to:
MDA services; 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;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
non-standard margin lending facility; and
standard margin lending facility; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services and managed discretionary accounts
to retail and wholesale clients.

Location

Advisers

NameFirst provided adviceQualification and trainings
 Anthony Bruce Hamilton2009Chartered Accountants - Institute of Chartered Accountants
 George Karantzias2001Bachelor of Economica - Macquarie University ~ Dip in Accounting and Finance - University of Technology Sydney ~ Responsible Executive RO - Kaplan Professionsl ~ SDIA Accreditation ASIC PS146 - ASIC
 Joseph Oliver Carroll2012Civil Engineering - Institute of Civil Engineers
 Philip Barclay Rofe2003Master of Business Adminstration - Bond University ~ Ontrack Kaplan Professional CPD 2014/2015 - Kaplan Professional ~ Ontrack Kaplan Professional CPD 2015/2016 - Kaplan Professional ~ Ontrack Kaplan Professional CPD 2016/2017 - Kaplan Professional
 Roger Earle Shephard2003Chartered Accounting - Institute of Chartered Accountants ~ Chartered Secretaries - Governance Institute of Australia ~ Taxation - Registered Taxation Agent ~ Taxation - Taxation Institute of Australia
 Theodore James Karantzias2017ADA1 - Kaplan Professional ~ RG146 - Kaplan Professional