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;
interests in managed investment schemes excluding 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; and
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;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anthony Michael Neasmith | 1996 | 2003 - Diploma Financial Planning - - FPA ~ 2008 - Acc Derivitives Adviser Level 2 - - ASX ~ 2010 - Margin Lending Accreditation - - Deakin Prime ~ 2010 - Professional Dip Stock Broking - - Deakin Prime ~ 2010 - Professional Standards Acc Prg - - Deakin Prime |
| Darren Scott Kerford | 1999 | 2001 - Bachelor of Commerce - - Monash University ~ 2003 - Superannuation - - RMIT University ~ 2008 - Acc Derivatives Adviser Level 1 - - ASX ~ 2010 - Margin Lending Accreditation - - Deakin Prime ~ 2010 - Professional Standards Acc Prg - - Deakin Prime |
| George Maikousis | 1987 | 2007 - Superannuation - - RMIT ~ 2008 - Accredited Derivative Adviser 1 - - ASX ~ 2010 - Margin Lending Accrediitation Prg - - Deakin Prime ~ 2010 - Professional Dip Stock Broking - - Deakin Prime |
| John Anton Joglou | 2008 | 2003 - Bachelor of Business - - Victoria University of Technology ~ 2006 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association ~ 2007 - Superannuation Module - - Royal Melbourne Institute of Technology Business TAFE School ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2011 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia |
| Lewis Vassos | 1988 | 2007 - Superannuation - - RMIT Uni ~ 2008 - Acc Derivatives Adviser Level 1 - - ASX ~ 2010 - Margin Lending Accreditation - - Deakin Prime ~ 2010 - Professional Dip Stockbroking - - Deakin Prime ~ 2010 - Professional Standards Acc Prg - - Deakin Prime |