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;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation; and
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;
interests in managed investment schemes excluding investor directed portfolio services; 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;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Benjamin Robert Willoughby | 2001 | 2002 - Securities, Futures & Managed Investments Accreditation - - SDIA - Deakin ~ 2009 - Level 1 Accredited Derivatives - - ASX-Kaplan Professional ~ 2010 - Margin Lending Accreditation - - Deakin Prime - SAA |
| Cameron James Prunster | 2009 | 2008 - Diploma in Financial Services - - Finsia |
| David Maxwell Keogh | 1993 | 1989 - Bachelor of Business (Fin. Mgt & Economics) - - Curtin University ~ 1996 - Graduate Diploma in Applied Finance & Investment - - Securities Institute ~ 2016 - SAA Managed Investments Module - - Stockbrokers Association of Australia / Deakin Prime |
| Glen William Colgan | 1988 | 1995 - Bachelor of Business (Financial Management & Economics) - - Curtin University ~ 1997 - Graduate Diploma in Applied Finance and Investment - - Securities Institute ~ 2003 - PS146 Financial Planning & Wealth Creation - - Finsia ~ 2007 - ASX Responsible Executive - - Tribeca |
| Harrison Massey | 2018 | 2015 - Bachelor of Commerce - - UWA ~ 2015 - Bachelor of Economics - - UWA ~ 2016 - RG146 Securities - MIS - - SAFAA / Deakin Prime ~ 2017 - RG146 Margin Lending - - SAFAA / Deakin Prime ~ 2018 - RG146 - Superannuation - - SAFAA / Deakin Prime |
| Jake Michael Solomon | 2018 | 2016 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University ~ 2018 - Diploma of Financial Planning - - Monarch Institute ~ 2019 - CPA - Professional Designations - CPA Australia |
| Lei FU | 2023 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Matej Mandic | 2018 | 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2021 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |