Escala Wealth Management Pty ltd

AFS License Number
456207
Name
Escala Wealth Management Pty ltd
ABN/ACN/ARBN
30162573828
Licensee issued
July 9, 2014
Address
Melbourne, 3000, VIC

Licence conditions

This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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;
securities;
standard margin lending facility; and
superannuation; and
provide financial product advice to wholesale clients only for the following classes of financial products:
interests in managed investment schemes limited to:
MDA services;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
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 to retail and wholesale clients 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;
securities;
standard margin lending facility; and
superannuation;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients only in respect of the following classes of products:
interests in managed investment schemes limited to:
MDA services.

Location

Advisers

Name First provided advice Qualification and trainings
 Alistair Scott Carmichael 1998 Accredited Derivatives Adviser Level 1 & 2 - Kaplan Professional ~ Core 1 (RG 146) Securities & Managed Investments - SDIA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - FINSIA ~ Superannuation - RMIT/SDIA
 Amanda Fong 1999 ASIC PS 146 Compliance - Deakin Prime ~ Bachelor of Commerce - University of Melbourne ~ Graduate Diploma in Applied Finane and Investment - FINSIA ~ Professional Diploma of Stockbroking - SAA
 Andrew Dobbin 2010 ASX Accredited Derivatives Adviser Level Two - Kaplan ~ Bachelor of Accounting - University of Technology ~ Core 1 Securities & Managed Investments Accreditation Program - Deakin
 Benjamin Charles James 2001 B.Business (Banking & Finance) - Monash University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ PS 146 Generic and Specialist Knowledge - SDIA ~ Professional Diploma in Stockbroking - SAA ~ Series 7 - FINRA United States Dealing License - FINRA
 Dylan Charles Verney 2018 Bachelor of Business - Monash University ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Securities & Managed Investments - Kaplan Professional ~ Self Managed Super Fund - Kaplan Professional
 Edward Robert Charles Brooke 2012 Bachelor of Commerce - University of Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Post Graduate Diploma - Securities Institute of Australia (now FINSIA)
 James Robins 2018 Bachelor of Commerce & Administration - University of Wellington ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Securities & Managed Investments - Kaplan
 Juliana Rajkovic 2014 Accredited Derivatives Advisor - Level 1 - ASIC ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Professional Diploma of Stockbroking - Stockbrokers Association of Australia
 Kris James 2016 Bachelor of Commerce / Accounting - University of Ballarat ~ Core 1: Securities & Managed Investments - Stockbrokers Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan professional ~ Self Managed Super Fund - Kaplan Professional
 Mark Cooper 2017 ASX Accredited Derivatives Adviser - Level 1 and 2 - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Certificate of Finance - Macquarie University ~ SDIA Accreditation Program - Deakin University ~ SDIA Margin Lending Accreditation - Deakin Prime
 Mason Allamby 1999 Australian Accredited Derivatives Adviser Level 1 & 2 - Kaplan ~ Bachelor of Commerce - Deakin University ~ Diploma of Financial Planning - FPA ~ Margin Lending Accreditation - DeakinPrime ~ Self Managed Super Fund - Kaplan Professional
 Rafi Jinnat 2018 Accredited Derivatives Advisor - Level 1 - Kaplan Professional ~ Bachelor of Economics - University of Western Sydney ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan
 Tim Cudlipp 2014 Core 1 (RG 146) Securities & Managed Investments - DeakinPrime ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Professional Diploma in Stockbroking - DeakinPrime ~ Superannuation Accreditation - DeakinPrime
 Will Hauser 2015 Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Professional Diploma in Stockbroking - Deakin Prime