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;
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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
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:
interests in managed investment schemes excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities; 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;
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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
Analytica Property Plus Fund" scheme (ARSN: 139 774 646),
a scheme which only holds the following types of property:
financial assets;
Merchant Opportunities Fund" scheme (ARSN: 111 456 387),
a scheme which only holds the following types of property:
financial assets; and
Merchant Biotech Fund" scheme (ARSN: 654 495 468),
a scheme which only holds the following types of property:
financial assets; 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 |
|---|---|---|
| Allan John Mcgregor | 2018 | Graduate Diploma Financial Planning - Kaplan Professional |
| Andrew Malins | 2011 | Associate Membership, Professional Year - Chartered Accountants Australia New Zealand ~ Bachelor of Arts (Accounting) - University of Canberra ~ Diploma of Financial Services (Financial Planning) - Kaplan (formerly FINSIA) |
| Brett Robert Cederblad | 2000 | Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Cheng Qian | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor or Commerce - The University of Melbourne ~ Diploma of Financial Planning - Monarch Institute |
| David Mckay French | 2001 | Bachelor of Economics - Flinders University of South Australia ~ Diploma in Financial Services (Financial Plannning) FNS50804 - Mentor Education ~ Diploma of Corporate Management - Institute of Corporate Managers |
| Elizabeth May Whalley | 2023 | Graduate Diploma of Financial Planning - Kaplan Professional |
| John Justin Zahra | 2023 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Maxwell Charles Hart | 2004 | Diploma of Financial Planning - Tribeca ~ Taxation Planning - Tribeca |
| Rebecca Rousell | 2012 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma - Financial Planning - Kaplan Professional Education ~ Graduate Certificate in Financial Planning - Kaplan ~ Graduate Diploma in Financial Planning - Kaplan ~ Masters of Financial Planning - Kaplan |
| Robert William Syben | 1999 | Bachelor of Economics - Monash University (Clayton) ~ Certified Financial Planner - Financial Planning Association of Australia |
| Ryan David Grant | 2008 | Bachelor of Commerce (Financial Planning and Investments) - Griffith University ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - The National Finance Institute ~ Certification in Self Managed Super Funds - RG146 Training Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending Certification - Mentor Education |
| Timothy Casey | 2004 | Advanced Diploma of Financial Planning - Mentor ~ Diploma of Financial Services (Financial Planning) - Mentor ~ Real Estate Certificate - Real Estate Institute ~ Self Managed Superannuation Funds - Mentor |
| Tracey Elizabeth Briggs | 2018 | Baccalaureus Commercii ( BACH of Commerce ) - University of Port Elizabeth ~ Diploma of Financial Planning - Kaplan |