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;
foreign exchange contracts;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
derivatives;
foreign exchange contracts;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adrian Rowney | 2004 | Accredited Derivatives Adviser Level 2 - ASX ~ Bachelor of International Business - Griffith University ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd ~ SDIA Accreditation Program Assessment - Securities & Derivatives Industry Association / DeakinPrime |
| Brad Smoling | 2003 | ASX Responsible Executive - ASX ~ Diploma in Financial Markets - FINSIA ~ Post Grad Diploma of Applied Finance & Investment - FINSIA |
| Christopher Pappas | 2016 | Accreddited Derivatives Advisor Level 2 - Kaplan Professional ~ Diploma of Share Trading and Investment - Wealthwithin Institute ~ Generic Knowledge & Securities - Kaplan Professional |
| Hilton Emmanuel Pohl | 2007 | ASX Level 1 & 2 Derivatives Accreditation - Kaplan ~ Bachelor of Communications (Business) - Bond ~ Margin Lending Accreditation Program - Kaplan ~ Master of Communication - Bond ~ RG146 Securities & Futures Mkts & Managed Investments - SDIA |
| Tracy Lee Askew | 2004 | ASX Level 1 & 2 Derivatives Accreditation - Kaplan ~ Bachelor of International Finance - Griffith University ~ Financial Planning - Kaplan Professional ~ SDIA PS146 Accreditation Program Assessment - Deakin Prime ~ Superannuation & Retirement Planning - Kaplan |