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;
non-cash payment products;
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services; and
securities;
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:
interests in managed investment schemes limited to:
MDA services; 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:
interests in managed investment schemes excluding investor directed portfolio services;
arranging for another person to issue, apply for, acquire for, vary or dispose of a financial product to wholesale clients only in respect of the following classes of financial products:
securities;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
non-cash payment products;
derivatives;
foreign exchange contracts;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
underwriting to wholesale clients only:
interests in managed investment schemes; and
an issue of securities; and
provide the following custodial or depository services to wholesale clients only:
operate custodial or depository services other than investor directed portfolio services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Jason David Achjian | 2014 | ADA Level 1 & 2 - Kaplan ~ Deposit Products and Non-cash Payment Products - FEP ~ Diploma of Financial Services (Financial Markets) - partial - AFMA ~ SDIA Accreditation Program - Deakin University |
| Kelvin John Butcher | 2014 | Deposit Products and Non-cash Payment Products - FEP ~ Diploma in Financial Markets - Securities Institute of Australia ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Foreign Exchange - FEP |
| Timothy Hobill Cole | 1992 | Derivatives - Financial Education Professionals ~ Diploma of Financial Services (Financial Markets) - AFMA ~ Managed Investments, Foreign Exchange, Deposit and Payment Facilities - Financial Education Professionals ~ Securities, Foreign Exchange - Financial Education Professionals |