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 |
|---|---|---|
| Andrew James Charles MC Glew | 1998 | Bachelor of Economics in Business Management - UWA ~ Professional Diploma in Stockbroking - Deakin |
| Benjamin Robert Willoughby | 2001 | Level 1 Accredited Derivatives - ASX-Kaplan Professional ~ Margin Lending Accreditation - Deakin Prime - SAA ~ Securities, Futures & Managed Investments Accreditation - SDIA - Deakin |
| Cameron James Prunster | 2009 | Diploma in Financial Services - Finsia |
| Christopher Richard Hill | 2015 | RG146 Securities - SAA ~ RG146 Superannuation - SAA/Deakin Prime |
| Christopher Wippl | 2012 | Bachelor of Economics - UWA ~ Securities & Managed Investments - SAA / Deakin Prime |
| Damian Rooney | 2009 | Diploma Financial Services (Financial Planning) - Pinnacle Financial Services ~ Securities - Managed Investments - Deakin Prime - SAA |
| David Maxwell Keogh | 1993 | Bachelor of Business (Fin. Mgt & Economics) - Curtin University ~ Graduate Diploma in Applied Finance & Investment - Securities Institute ~ SAA Managed Investments Module - Stockbrokers Association of Australia / Deakin Prime |
| Geoff Norman Barnesby-johnson | 1985 | Securities, Futures & Managed Investments Accreditation - SDIA - Deakin Prime |
| George David Lussick Ogilvie | 2013 | Bachelor of Commerce - University of Western Australia ~ DTR (Cash Equities) - Stockbrokers Association of Australia ~ Margin Lending - Stockbrokers Association of Australia |
| Glen William Colgan | 1988 | ASX Responsible Executive - Tribeca ~ Bachelor of Business (Financial Management & Economics) - Curtin University ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ PS146 Financial Planning & Wealth Creation - Finsia |
| Harrison Massey | 2018 | Bachelor of Commerce - UWA ~ Bachelor of Economics - UWA ~ RG146 - Superannuation - SAFAA / Deakin Prime ~ RG146 Margin Lending - SAFAA / Deakin Prime ~ RG146 Securities - MIS - SAFAA / Deakin Prime |
| James David Massey | 2011 | Level 1 Accredited Derivatives - Deakin Prime - SAA ~ Securities & Managed Investments Accreditation - Deakin Prime - SAA |
| Jonas Benedikt Dorling | 0 | Bachelor of Commerce. Economics & Finance - University of Western Australia ~ Graduate Diploma of Financial Planning - KAPLAN |
| Joshua Paul Welch | 2010 | ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Margin Lending - Stockbrokers Association of Australia |
| Kevin Mark Johnson | 1988 | ASIC RM - Tribeca ~ Bachelor of Business Financial Studies (Double Major) - WA College of Advanced Education ~ Professional Diploma in Stockbroking - Deakin University |
| Quinton James Meyers | 0 | Bachelor of Business - Accounting Finance Double Major - Curtin University ~ Chartered Accounting - Chartered Accountants ~ Financial planning - KAPLAN |
| Robert Grant | 1986 | Bachelor of Commerce - University of Western Australia ~ PS146 - Finsia |
| Robert John Healy | 2012 | Margin Lending Accreditation - Deakin Prime - SAA ~ Tier 1 Adviser Compliance Solution - Kaplan Professional |