Vishal Gupta

Name
Vishal Gupta
ID
334363
ABN
First Provided Advice
2010
Restrictions
Scope of Authority: (a) provide financial product advice for the following classes of financial products: (i) deposit and payment products limited to: (A) basic deposit products; (B) deposit products other than basic deposit products; (ii) debentures, stocks or bonds issued or proposed to be issued by a Government; (iii) life products including: (A) 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 (B) 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; (iv) interests in managed investment schemes including, but not limited to: (A) investor directed portfolio services (IDPS); and (B) managed investment schemes that are IDPS-like schemes; (v) securities;Page 2M:4058704_4 RDC(vi) standard margin lending facility; and (vii) superannuation, excluding Self Managed Superannuation Funds (SMSFs); (b) deal in a financial product by: (i) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products: (A) deposit and payment products limited to: (1) basic deposit products; (B) life products including: (1) 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 (2) 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; (C) interests in managed investment schemes including, but not limited to: (1) investor directed portfolio services (IDPS); and (2) managed investment schemes that are IDPS-like schemes; (D) securities; (E) standard margin lending facility; and (F) superannuation, excluding Self Managed Superannuation Funds (SMSFs); to retail or wholesale clients.

Qualifications

Details on the qualifications or training courses the adviser has completed that are relevant to providing financial services

  • Advance Diploma in financial Services (FP) - International Institute of Technology
  • Bachelor Of Commerce - Allahabad University
  • Diploma Of Financial Services - International Institute of Technology
  • Estate Planning Foundation Skills - Charles Sturt University
  • SMSF - International Institute of Technology

Memberships

Details of memberships of professional bodies or industry associations relevant to providing financial services

  • Financial Planning Association of Australia (FPA)

Licencee

Status
Current
Licence Holder
Guideway Financial Services Pty ltd (#420367)
Commenced
Nov. 1, 2017

Skills

  • Provide Financial Product Advice - Carbon Credits/Carbon Unit
  • Provide Financial Product Advice - Deposit and Payment Products/Non-basic Deposit Products
  • Provide Financial Product Advice - Deposit & Payment Products – Non-Cash Deposit Products
  • Provide Financial Product Advice - Derivatives
  • Provide Financial Product Advice - Derivatives/Derivatives - Wool only
  • Provide Financial Product Advice - Derivatives/Derivatives - Electricity only
  • Provide Financial Product Advice - Derivatives/Derivatives - Grain only
  • Provide Financial Product Advice - Foreign Exchange Contracts
  • Provide Financial Product Advice - Government Debentures, Stocks or Bonds
  • Provide Financial Product Advice - Life Products/Investment Life Insurance Products
  • Provide Financial Product Advice - Life Products/Life Risk Insurance Product
  • Provide Financial Product Advice - Life Products/Life Products - Consumer Credit Insurance Only
  • Provide Financial Product Advice - Managed Investment Schemes/Managed Investment Schemes, excluding IDPS
  • Provide Financial Product Advice - Managed Investment Schemes/Managed Investment Schemes, including IDPS
  • Provide Financial Product Advice - Managed Investment Schemes/IDPS Only
  • Provide Financial Product Advice - Managed Investment Schemes/Own Managed Investment Scheme Only
  • Provide Financial Product Advice - Managed Investment Schemes/Horse Racing Syndicate
  • Provide Financial Product Advice - Managed Investment Schemes/Timesharing Scheme
  • Provide Financial Product Advice - Managed Investment Schemes/MDA Services
  • Provide Financial Product Advice - Retirement Savings Account Products
  • Provide Financial Product Advice - Securities
  • Provide Financial Product Advice - Superannuation
  • Provide Financial Product Advice - Superannuation/Self-Managed Superannuation Fund
  • Provide Financial Product Advice - Superannuation/A person's existing holding in a superannuation product
  • Provide Financial Product Advice - Margin Lending Facility/Standard Margin Lending Facility
  • Provide Financial Product Advice - Margin Lending Facility/Non-Standard Margin Lending Facility
  • Provide Financial Product Advice - Carbon Credits/Australian Carbon Credit Unit
  • Provide financial product advice/Carbon Credits/Eligible International Emissions Unit
  • Provide Financial Product Advice - Miscellaneous Financial Facility/Miscellaneous Financial Investment Products - MDA Services
  • Provide Financial Product Advice - Miscellaneous Financial Facility/Miscellaneous Financial Risk Products
  • Provide Financial Product Advice - Miscellaneous Financial Facility/Miscellaneous Financial Investment Products
  • Provide Financial Product Advice - FHSA Issued non ADI
  • Old Law Securities Options Contracts and Warrants Securities
  • Old Law Futures Contracts and Warrants
  • Managed Investment Schemes (Registered or Unregistered)
  • Securities – Debentures Managed Investment Schemes
  • All Securities
Status
Ceased
Licence Holder
State Super Financial Services Australia Limited (#238430)
Commenced
Nov. 18, 2013
Ceased
July 8, 2016
Status
Ceased
Licence Holder
Sciventures Investments Pty Ltd (#227611)
Commenced
April 1, 2010
Ceased
Sept. 1, 2011
Status
Ceased
Licence Holder
Amp Capital Investment Management Pty Limited (#302511)
Commenced
Oct. 1, 2011
Ceased
Nov. 18, 2013
Status
Ceased
Licence Holder
Industry Fund Services Limited (#232514)
Commenced
Aug. 4, 2016
Ceased
Oct. 31, 2017