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Koda Capital Pty ltd

AFS License Number
452581
Name
Koda Capital Pty ltd
ABN/ACN/ARBN
65166491961
Licensee issued
May 2, 2014
Address
Sydney, 2000, NSW

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;
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;
securities;
standard margin lending facility; and
superannuation;
provide financial product advice to wholesale clients only for the following classes of financial products:
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
derivatives;
foreign exchange contracts; and
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
miscellaneous financial investment products limited to MDA services; and
interests in managed investment schemes excluding investor directed portfolio services;
applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients 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;
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;
securities;
standard margin lending facility; and
superannuation; and
provide the following custodial or depository services to wholesale clients only:
operate custodial or depository services other than investor directed portfolio services;

Location

Advisers

NameFirst provided adviceQualification and trainings
 Adam Luke Horton2012ASX Accredited Derivatives Adviser Level Two - Kaplan Professional ~ Advanced Diploma in Financial Planning - Kaplan Professional ~ Bachelor of Commerce - University of Wollongong ~ Margin Lending and Geared Investments - Kaplan Professional ~ RG146 Accreditation - Stockbrokers Association of Australia
 Alison Matthews2007Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Bachelor of Economics - University of Adelaide ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Foundation DFP - FPA/Deakin University
 Brendan Jones2001Bachelor Degree - Monash University ~ CFP - Certified Financial Planner - Financial Planning Association of Australia/Deakin University ~ Diploma - Financial Planning - Financial Planning Association of Australia/Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional
 Cassandra Anne Michelle Hirst2004Bachelor of Commerce - Curtin University of Technology ~ Certificate IV Finance and Mortgage Broking - Kaplan ~ Certified Financial Plannier - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Finsia
 Charles Edward Moore2005Bachelor of Arts (Economics and Political Science - University of Sydney ~ Diploma of Applied Finance and Investment - Securities Institute of Australia
 Craig Adam Tonkes2017Bachelor of Commerce (Finance) - Flinders University ~ Diploma of Financial Services (Financial Planning) - Tribeca
 Daniel John Meech1998Bachelor of Commerce - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Graduate Diploma in Financial Planning - Securities Institute of Australia ~ Investment Management Certificate (UK) - UK Society of Investment Professionals
 David Clark2002Bachelor Degree - Economics - University of Western Sydney ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma - Applied Finance and Investment - Securities Institute of Australia
 David Graham Ransom2016Bachelor of Business (Accounting) - RMIT University ~ Graduate Diploma in Financial Planning - Kaplan
 Farren Williams2002Bachelor of Arts - Monash University ~ Bachelor of Science - Monash University ~ Certificate of Financial Planning - Deakin University/FPA ~ Company Directors Course - Australian Institute of Company Directors (AICD) ~ Diploma of Financial Planning - Deakin University/FPA
 James Alexander Middleditch2011Foreign Exchange Accreditation - Kaplan Professional ~ Graduate Diploma of Financial Planning - FINSIA ~ Margin Lending and Geared Investments Accreditation - Kaplan Professional ~ Master of Applied Finance (Financial Planning) - Kaplan Professional
 James Hawthorne2010Bachelor Degree - Applied Finance (B App Fin) - Macquarie University ~ Bachelor Degree - Law (LLB) - Macquarie University
 Jordan Luke Ryan2014Bachelor of Commerce (Finance & Financial Planning) - Griffith University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA)
 Justin Lucas2012Accredited Dervivates Adviser - Kaplan ~ Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Commerce - Monash University ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional
 Kalaichelvi Aravindan2018Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan
 Leon Lindsay Dier2017Bachelor of Commerce (Finance) - University of New South Wales ~ Graduate Diploma of Chartered Accounting - Chartered Accountants Australia & New Zealand
 Mark Lear Pollasky1998Bachelor of Science (Economics) - University of Wisconsin-Maddison ~ Level 1 Accredited Derivatives Adviser - Kaplan Professional ~ RG 146 - Kaplan Professional ~ Series 7 General Securities Representative - Financial Industry Regulatory Authority (USA)
 Matthew James Donat2009Bachelor of Commerce - Monash University ~ Chartered Accountant - Institute of Chartered Accountants Australia ~ Graduate Diploma of Financial Planning - Kaplan
 Michael Massey1998Bachelor of Business (Finance) - University of Technology, Sydney ~ Graduate Diploma of Applied Finance - FINSIA
 Nikolas Egils Velde2000Bachelor of Commerce - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Certified Practicing Accountant CPA - CPA Australia ~ Investment Management Certificate - Chartered Institute for Securities & Investment ~ Securities & Investment Institute Diploma - Chartered Institute for Securities & Investment
 Peter Thomas Dunn2000Bachelor of Commerce (Accounting) - University of Wollongong ~ Chartered Accountant - Institute of Chartered Accountants ~ Diploma of Financial Planning - Kaplan Professional
 Sabil Chowdhury2015Accredited Derivatives Adviser - Level 2 - Kaplan ~ Bachelor of Science - University of New South Wales ~ Diploma of Financial Planning - Kaplan ~ Master of Management - University of Sydney ~ Self Managed Superannuation Funds - Kaplan
 Sean Abbott1998Bachelor of Business - University of Technology, Sydney ~ Graduate Diploma of Financial Planning - Securities Institute of Australia
 Simon Charles Duckett1995Bachelor of Economics - Macquarie University ~ Graduate Diploma of Applied Finance - FINSIA ~ Master of Applied Finance - Macquarie University
 Tom Oryl0Bachelor of Commerce - Macquarie University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Tier 1 Securities and Managed Investments Personal Advice - Kaplan Professional
 Troy Andrew Armstrong2009Bachelor of Commerce (Financial Planning) - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional
 Victoria Lindores2004Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce - University of Melbourne ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Ethics and Professionalism in Financial Advice - Kaplan Professional
 Vinay Ramesh2017Bachelor of Commerce (Professional Accounting) - Macquarie University ~ Core 1 Securities and Managed Investments Accreditation Program - Stockbrokers Association of Australia ~ Foreign Exchange Accreditation Program - Western Sydney University
 William John Archibald Douglas1998Bachelor of Commerce - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance - Kaplan Professional