Hoxton Capital Management (australia) Pty ltd

AFS License Number
402217
Name
Hoxton Capital Management (australia) Pty ltd
ABN/ACN/ARBN
26149470824
Licensee issued
April 20, 2011
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;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
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;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.

Location

Advisers

Name First provided advice Qualification and trainings
 Christopher Anthony Ball 2014 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals
 David Mark Moss 2009 2001 - Bachelor of Economics, sub major in Finance - - University of Western Sydney ~ 2002 - Master of Commerce, Specialisation in Business Law - - University of New South Wales ~ 2006 - Regulatory Guide146 (Tier 1) in Generic Knowledge, Skills, Superannuation - - RMIT University ~ 2009 - Regulatory Guide146 (Tier 1) in Life Ins., Management Invt, Securities, Derivatives, Financial Plan - - RMIT University
 Emma Marie Norton Selzer 2016 2016 - FNS50615 Diploma of Financial Planning - - Kaplan ~ 2017 - Securities and Managed Investments - - Kaplan
 Enrico Cachucho 2009 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals
 George Stainton 2016 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals
 Jonathan Simon Brookes 1998 2021 - RG146 units of competency - Diploma (AQF 5) - Financial Education Professional Pty Ltd
 Joseph Kerwin 2011 2013 - Diploma of Financial Planning - - Monarch Institute ~ 2014 - Advanced Diploma of Financial Planning - - Monarch Institute
 Kareem Rathore 2012 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals
 Moheen Ahmed 2012 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals
 Thomas William Kenneth Goldie 2016 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals