This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
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:
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;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
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 |
|---|---|---|
| John Henry Toll | 2016 | Bachelor of Commerce - The University of Western Australia ~ Chartered Accountant - The Institute of Chartered Accountants in Australia ~ Graduate Diploma of Applied Finance - Kaplan Professional |
| Michael Robert Zurzolo | 2016 | Bachelor of Commerce - Curtin University ~ Chartered Accountant - The Institute of Chartered Accountants in Australia |
| Simon Charles Price | 2016 | Bachelor of Commerce and Law - Bond University ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia ~ Masters in Law - University of Cambridge |