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