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 limited to:
old law securities options contracts and warrants;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA 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:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives limited to:
old law securities options contracts and warrants;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA 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 limited to:
old law securities options contracts and warrants;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Alan Christopher Young | 1985 | ASX/ACH Responsible Executive Exam - ASX |
| Alex Martin | 2017 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Commerce (Accounting) - University of Adelaide ~ Diploma of Financial Planning - Monarch Institute |
| Anthony Damian Walsh | 1996 | Bachelor of Economics (Accounting) - La Trobe University ~ Graduate Diploma in Applied Finance and Investment - Securities Institute Australia |
| James Ashley Young | 2018 | ASX DTR Exam - ASX ~ Graduate Diploma of Chartered Accounting - Deakin University ~ RG 146 - SDIA |
| Mark Richard Potter | 1994 | Bachelor of Economics (Accounting) - Flinders Univeristy ~ Derivatives ADA 1 - ASX ~ Derviatives ADA 2 - ASX |
| Matthew David Plant | 2001 | ADA Level 2 - ASX ~ ADA level 1 - ASX ~ Bachelor of Commerce - University of Adelaide |
| Matthew Sean Paul Kenny | 2000 | DTR Exam - ASX ~ Derivatives ADA 1 - ASX ~ Derivatives ADA 2 - ASX ~ Diploma in Financial Markets - Securities Institute of Australia |
| Michael John Zollo | 2014 | RG 146 - SDIA |
| Scott Brian Dolling | 1989 | Graduate Diploma in Applied Finance and Investment - FINSIA ~ RG 146 - Stockbrokers and Financial Advisers Association |
| Timothy John Palframan | 2014 | Core 1 Securites & Managed Investments Accreditation Program - Deakin University ~ Diploma of Accounting - Kangaroo Point TAFE |
| Toby Michael Grimm | 2001 | ADA Level 1 - ASX ~ ADA Level 2 - ASX |