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;
derivatives;
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;
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;
derivatives;
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 |
|---|---|---|
| Ashok Desai | 1996 | 1996 - MBA - - University of Western Australia ~ 1997 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2000 - Accredited FInancial Planning Specialist - - ICAA ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2019 - FASEA Exam - Other - FASEA |
| Brent Joseph Evitt | 1989 | 1989 - Bachelor of Business - - Curtin University ~ 2002 - PS146 Compliance Program (Securities and Managed Investments) - - FINSIA ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2014 - Superannuation - - KAPLAN ~ 2021 - FASEA Exam - Other - FASEA |
| Brian Collins | 1998 | 1992 - Bachelor of Commerce - - Curtin University ~ 1993 - Certified Practicing Accountant - - Deakin University ~ 2004 - RG146 - - Kaplan ~ 2021 - FASEA Exam - Other - FASEA |
| Callum Fransz | 2017 | 2017 - Tier 1 Securities - - Kaplan ~ 2019 - FASEA Exam - Other - FASEA |
| Jason William Gould Peterson | 1996 | 1994 - Bachelor of Commerce - - Curtin University ~ 1995 - Graduate Diploma of Applied FInance and Investment - - FINSIA ~ 2005 - Accredited Derivatives Adviser Level 2 - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2019 - FASEA Exam - Other - FASEA |
| Kyle Haynes | 1996 | 1994 - Bachelor of Commerce - - Murdoch University ~ 1995 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2000 - Accredited Derivatives Adviser - Level 2 - - Australian Stock Exchange ~ 2003 - RG 146 - - RMIT University ~ 2021 - FASEA Exam - Other - FASEA |
| Mason King | 2016 | 2013 - Bachelor of Commerce - - Curtin University ~ 2015 - RG 146 - - Kaplan ~ 2021 - FASEA Exam - Other - FASEA |
| Michael Stanley Carter | 2006 | 2000 - Bachelor of Commerce - - University of Western Australia ~ 2002 - Graduate Diploma of Applied Finance and Investment - - Finsia ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2021 - FASEA Exam - Other - FASEA |
| Murray William Broun | 2003 | 2002 - Bachelor of Commerce - - Curtin University ~ 2002 - RG 146 - - Securities Institute of Australia ~ 2003 - Accredited Derivateives Adviser- Level 2 - - Australian Stock Exchange ~ 2011 - Foreign Exchange - - Kaplan ~ 2021 - FASEA Exam - Other - FASEA |
| Roberto Gerald Catena | 2002 | 1996 - Bachelor of Economics (Honours) - - University of WA ~ 1998 - RG146 Tier 1 - - SDIA ~ 2021 - FASEA Exam - Other - FASEA |
| Timothy Paul Neesham | 2008 | 2003 - Bachelor of Economics - - University of Western Australia ~ 2009 - Graduate Diploma of Applied Finance and Investment - - Kaplan ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2021 - FASEA Exam - Other - FASEA |