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;
derivatives;
interests in managed investment schemes excluding investor directed portfolio services;
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;
derivatives;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Kingsley Tout | 1994 | 1990 - Bachelor of Business - - Edith Cowan University ~ 1993 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2001 - RG146 - - Securities and Derivatives Industry Association ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2019 - FASEA Exam - Other - FASEA |
| Adam Priestley Belton | 2002 | 2004 - Diploma of Fin Planning - - securities institute |
| Alan Peter Lawson | 1997 | 1995 - Bachelor of Buisness - - ECU ~ 2000 - Derivatives Level 2 - - ASX ~ 2004 - Level 1 - - CFA institute |
| Anthony John Locantro | 1998 | 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2015 - Core 1 Securities and Managed Investments Accreditation Program - - Stockbrokers Association Australia ~ 2015 - Professional Diploma in Stockbroking - - Stockbrokers Association or Australia |
| Clarke Colin Barlow | 2006 | 2002 - Bachelor of Comm - - University of Western Australia ~ 2003 - Designated Training Representative Derivatives - - ASX ~ 2003 - RG146 Tier 1 - - SDIA ~ 2006 - Accredited Derivatives Adviser - Level 1 and 2 - - ASX |
| David Rodney Parker | 2001 | 1998 - Bachelor of Commerce - - Curtin UNI ~ 2002 - SIA ( aff ) - - Securities institute ~ 2005 - senior associate - - FINSIA |
| Fiona Susan Rigg | 1992 | 1986 - Commerce Degree - - University of Western Australia |