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;
debentures, stocks or bonds issued or proposed to be issued by a government;
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
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;
debentures, stocks or bonds issued or proposed to be issued by a government;
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;
to retail and wholesale clients.
Name | First provided advice | Qualification and trainings |
---|---|---|
Jonathan Eric Riley | 2017 | Diploma of Financial Planning - Kaplan Professional |
Nicholas Partridge | 2013 | Diploma of Financial Planning - Mentor Education ~ RG 146 Investments (General Advice) - Mentor Education ~ RG 146 Personal Advice - Mentor Education |
Simon John Cunnington | 1996 | Accredited Derivatives - Level 1 - ASX ~ Accredited Derivatives Level 2 - ASX ~ Bachelor of Arts - Monash University ~ Margin Lending and Geared Investments - Kaplan Education |