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;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
non-standard margin lending facility; and
standard margin lending facility;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
interests in managed investment schemes including:
investor directed portfolio services; and
interests in managed investment schemes limited to:
MDA services; and
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;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
non-standard margin lending facility; and
standard margin lending facility; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services and managed discretionary accounts
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anthony Bruce Hamilton | 2009 | Chartered Accountants - Institute of Chartered Accountants |
| George Karantzias | 2001 | Bachelor of Economica - Macquarie University ~ Dip in Accounting and Finance - University of Technology Sydney ~ Responsible Executive RO - Kaplan Professionsl ~ SDIA Accreditation ASIC PS146 - ASIC |
| Joseph Oliver Carroll | 2012 | Civil Engineering - Institute of Civil Engineers |
| Philip Barclay Rofe | 2003 | Master of Business Adminstration - Bond University ~ Ontrack Kaplan Professional CPD 2014/2015 - Kaplan Professional ~ Ontrack Kaplan Professional CPD 2015/2016 - Kaplan Professional ~ Ontrack Kaplan Professional CPD 2016/2017 - Kaplan Professional |
| Roger Earle Shephard | 2003 | Chartered Accounting - Institute of Chartered Accountants ~ Chartered Secretaries - Governance Institute of Australia ~ Taxation - Registered Taxation Agent ~ Taxation - Taxation Institute of Australia |
| Theodore James Karantzias | 2017 | ADA1 - Kaplan Professional ~ RG146 - Kaplan Professional |