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 Priestley Belton | 2002 | Diploma of Fin Planning - securities institute |
| Alan Peter Lawson | 1997 | Bachelor of Buisness - ECU ~ Derivatives Level 2 - ASX ~ Level 1 - CFA institute |
| Anthony John Locantro | 1998 | Core 1 Securities and Managed Investments Accreditation Program - Stockbrokers Association Australia ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association or Australia |
| Cameron Ross Bolton | 2004 | Margin lending / geared investments - Kaplan ~ PS 146 complaint - Kaplan ~ RG 146 - Kaplan |
| Caue Penteado DE Toledo Rodrigues | 2018 | Bachelor of Business Administration - University of San Paulo ~ Diploma of Financial Planning - Kaplan ~ Master of Professional Accounting - Edith Cowan University |
| Chris David Mcgrath | 2009 | Derivites level 2 - ASX ~ Masters of Buisness Admin - UWA |
| Clarke Colin Barlow | 2006 | Accredited Derivatives Adviser - Level 1 and 2 - ASX ~ Bachelor of Comm - University of Western Australia ~ Designated Training Representative Derivatives - ASX ~ RG146 Tier 1 - SDIA |
| Craig Ian Brown | 1987 | derivitives level 1 - ASX ~ margin lending /geared investments - Kaplan |
| Daniel Koong Seng Chiew | 2017 | Bachelor of Commerce - University of Western Australia |
| David Rodney Parker | 2001 | Bachelor of Commerce - Curtin UNI ~ SIA ( aff ) - Securities institute ~ senior associate - FINSIA |
| Frederick Alexander Bax | 2010 | RG146 - Kaplan |
| Paul William Covich | 1987 | Bachelor of Business - Curtin University of Technology ~ SDIA Accreditation Program - Securities and Futures Markets and Managed Investments - Deakin/ SDIA ~ Securities Industry Law and Ethics - Securities Institute of Australi |
| Peter Hamilton Hayes | 1991 | Bachelor of Buisness - Curtin University |
| Shane Hoehock Wee | 1994 | Derivitives Level 1 - ASX ~ margin lending /geared investments - Kaplan |
| Stockley Roy Davis | 1998 | economics - UWA |