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;
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 in respect of the following classes of financial products:
derivatives; and
securities;
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;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
underwriting:
interests in managed investment schemes; and
an issue of securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Brett Andrew Spork | 2002 | Bachelor of Business - Queensland University ~ Responsible Executive Exam - Stockbrokers Association of Australia ~ SDIA Accreditation Program - Stockbrokers Association of Australia |
| Charlie Mcguigan | 2004 | Bachelor of Commerce - Deakin University ~ Graduate Diploma Applied Finance - Securities Institute of Australia ~ New York Series 7 - General Securities Representative Exam - US Securities Exchange Commission ~ Securities & Derivatives Industry Association Accreditation Program - Deakin University |
| Peter Thomas Argyrides | 2002 | AES G & AES 2 Securities - Assessment Education Services ~ Accredited Derivatives Adviser Level One - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |