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 | 2001 - Bachelor of International Business - - Griffith University ~ 2003 - Accredited Derivatives Adviser Level 2 - - ASX ~ 2003 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association / DeakinPrime ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd |
| Brad Smoling | 2003 | 1999 - Diploma in Financial Markets - - FINSIA ~ 2002 - Post Grad Diploma of Applied Finance & Investment - - FINSIA ~ 2006 - ASX Responsible Executive - - ASX |
| Christopher Pappas | 2016 | 2014 - Diploma of Share Trading and Investment - - Wealthwithin Institute ~ 2015 - Generic Knowledge & Securities - - Kaplan Professional ~ 2016 - Accreddited Derivatives Advisor Level 2 - - Kaplan Professional |
| Hilton Emmanuel Pohl | 2007 | 2003 - Bachelor of Communications (Business) - - Bond ~ 2005 - Master of Communication - - Bond ~ 2007 - RG146 Securities & Futures Mkts & Managed Investments - - SDIA ~ 2009 - ASX Level 1 & 2 Derivatives Accreditation - - Kaplan ~ 2011 - Margin Lending Accreditation Program - - Kaplan |
| Tracy Lee Askew | 2004 | 2001 - Bachelor of International Finance - - Griffith University ~ 2003 - ASX Level 1 & 2 Derivatives Accreditation - - Kaplan ~ 2003 - SDIA PS146 Accreditation Program Assessment - - Deakin Prime ~ 2014 - Superannuation & Retirement Planning - - Kaplan ~ 2023 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |