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;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to managed investment warrants:
to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
that is transferable; and
that is a warrant as defined in the ASX Operating Rules that has been admitted by the ASX to trading status on a financial market of the ASX; and
miscellaneous financial investment products limited to MDA services;
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 limited to:
old law securities options contracts and warrants; and
financial products limited to miscellaneous financial investment products limited to managed investment warrants:
to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
that is transferable; and
that is a warrant as defined in the ASX Operating Rules that has been admitted by the ASX to trading status on a financial market of the ASX; and
financial products limited to miscellaneous financial investment products limited to MDA services;
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;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility;
superannuation; and
financial products limited to miscellaneous financial investment products limited to managed investment warrants:
to which the definition of derivative in subsection 761D(1) applies that is a financial product of the kind referred to in subparagraph 764A(1)(b)(ii) or 764A(1)(ba)(ii); and
that is transferable; and
that is a warrant as defined in the ASX Operating Rules that has been admitted by the ASX to trading status on a financial market of the ASX; and
financial products limited to miscellaneous financial investment products limited to MDA services; 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 |
|---|---|---|
| Adrian Alister Mcdonald | 2006 | Bachelor Business (Accounting) - Central Queensland University ~ Cavendish Self Managed Superannuation Funds - University of Adelaide ~ Diploma Financial Services (Financial Planning) FNS50804 - Pinnacle Financial Services Academy ~ RG146 Margin Lending & Geared Investments - Kaplan Australia |
| Alanna Yve Fraser | 2022 | Economics - QUT ~ Financial Planning - Griffith University |
| Alicia Ualesi Kendall | 2004 | Bachelors of Commerce in Financial Planning & Investment - Griffith University ~ Certificate in Financial Planning - The Chartered Insurance Institute ~ Diploma of Stockbroking - Stockbrokers Association of Australia ~ Financial Planner AFP ® - Financial Planning Association of Australia ~ Financial Planner CFP - Financial Planning Association of Australia ~ Master of Business Administration - University of Southern Queensland |
| Angus Traves | 2023 | Accredited Derivatives Adviser Level 1 (ADA 1) - Stockbrokers and Investment Advisers Association ~ Bachelor of Business (Finance & Management) - QUT ~ Master of Financial Planning - Griffith University |
| Anthony Neale Killer | 2004 | ASX Broker Exam - ASX/SIA ~ ASX Broker Exam - ASX/SIA ~ Certificate in Financial Markets - Securities Institute of Australia ~ Certificate in Financial Markets - Securities Institute of Australia ~ RG146 - Kaplan ~ RG146 - Kaplan |
| Christopher Burrell | 2004 | Bachelor of commerce (Hons) - University of Queensland ~ Bachelor of laws - University of Queensland ~ Fellow Charted Accountant - Chartered Accountants Australia ~ Fellow Securities Institute of Australia - SIA ~ Masters of financial Management - University of Queensland |
| Dylan Katzer | 2008 | Bachelor of commerce - University of Queensland ~ Bachelor of economics - University of Queensland ~ Graduate diploma of applied finance and investment - Kaplan ~ RG146 (securities) - Kaplan |
| Jamie Elgar | 2004 | ADA 1 & 2 - ASX ~ Master of Business Administration - The University of Queensland ~ RG146 Derivatives - Kaplan ~ RG146 Securities - Kaplan ~ RG146 Superannuation - Kaplan |
| Mari Leena Ashted | 2011 | Bachelor of Business (Accountancy) - QUT ~ Diploma of Financial Planning - Integrity Education Group |
| Michael Baker | 2021 | Bachelor of Business- Majoring in Banking and Finance - QUT ~ Graduate Diploma in Applied Finance and Investment - Securities Institute |
| Michael Bates | 2004 | B. Bus. Accounting - QUT ~ B. Bus. Management (Econ.) - QIT (now QUT) ~ CPA - CPA Australia ~ Grad. Dip. Applied Finance & Investment - Securities Institute of Australia ~ RG146 Securities, MIS, Margin Lending - Kaplan |
| Michael Burrell | 2013 | Accredited Derivatives Adviser Level 1 (ADA1) - Stockbrokers and Investment Advisers Association ~ Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Laws (Graduate Entry) - Queensland University of Technology ~ Graduate Diploma in Legal Practice - Queensland University of Technology ~ Professional Diploma in Stockbroking - Deakin University |
| Patrick Shannon | 2018 | Bachelor of Business (Finance) - QUT ~ RG146 (Securities) - Kaplan |
| Robert Chan | 2004 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of international business - Griffith University ~ Diploma of financial services - Kaplan ~ Diploma of information systems - Griffith University |
| Samuel James Cale | 0 | Bachelor of Business (Entrepreneurship and Self Employment) - Griffith University ~ Bachelor of Commerce (Financial Planning) - Griffith University |
| Shannon Mcshane | 2017 | Bachelor of Commerce - Griffith University ~ Bachelor of International Relations - Griffith Univerity ~ Diploma Of Financial Planning - Kaplan ~ Master of International Economics and Finance - The University of Queensland |
| Shaun Minahan | 2004 | ADA 1 & 2 - ASX ~ Bachelor of Commerce - La Trobe University ~ Branch Managers - ASX ~ Graduate Diploma of Financial Planning - Finsia ~ Margin Lending and Geared Investments - Kaplan |
| Thomas John Kirby | 1997 | Bachelor of Science Land Administration - University of East London ~ Graduate Diploma of Financial Planning - FINSIA |
| Wayne Matthews | 2018 | Graduate Diploma of Economics - Griffith University ~ RG146 (Securities and Managed Investments) - Kaplan ~ Risk Management - Integratec |