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;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
standard margin lending facility;
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;
interests in managed investment schemes excluding investor directed portfolio 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;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
standard margin lending facility; and
underwriting:
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 |
|---|---|---|
| Matthew Roberts | 2007 | 2006 - Bachelor of Accounting and Finance - - Curtin University |
| Nicholas Jacob Gold | 2004 | 1998 - Bachelor of Commerce - - Monash University |
| Sean Conlan | 1993 | 2002 - PS146 - Other - ASX ~ 2011 - Margin Lending & Geared Investments - Other - Kaplan Professional ~ 2012 - ADA Level 1 - Renewal - Other - ASIC ~ 2015 - ADA Level 2 - Other - ASIC |