This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation; and
provide financial product advice to wholesale clients only for the following classes of financial products:
interests in managed investment schemes limited to:
MDA services;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients 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;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients only in respect of the following classes of products:
interests in managed investment schemes limited to:
MDA services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alistair Scott Carmichael | 1998 | Accredited Derivatives Adviser Level 1 & 2 - Kaplan Professional ~ Core 1 (RG 146) Securities & Managed Investments - SDIA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - FINSIA ~ Superannuation - RMIT/SDIA |
| Amanda Fong | 1999 | ASIC PS 146 Compliance - Deakin Prime ~ Bachelor of Commerce - University of Melbourne ~ Graduate Diploma in Applied Finane and Investment - FINSIA ~ Professional Diploma of Stockbroking - SAA |
| Andrew Dobbin | 2010 | ASX Accredited Derivatives Adviser Level Two - Kaplan ~ Bachelor of Accounting - University of Technology ~ Core 1 Securities & Managed Investments Accreditation Program - Deakin |
| Benjamin Charles James | 2001 | B.Business (Banking & Finance) - Monash University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ PS 146 Generic and Specialist Knowledge - SDIA ~ Professional Diploma in Stockbroking - SAA ~ Series 7 - FINRA United States Dealing License - FINRA |
| Constance Gaidatzis | 2018 | Diploma of Financial Planning - Kaplan ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Dylan Charles Verney | 2018 | Bachelor of Business - Monash University ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Securities & Managed Investments - Kaplan Professional ~ Self Managed Super Fund - Kaplan Professional |
| Edward Robert Charles Brooke | 2012 | Bachelor of Commerce - University of Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Post Graduate Diploma - Securities Institute of Australia (now FINSIA) |
| James Robins | 2018 | Bachelor of Commerce & Administration - University of Wellington ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Securities & Managed Investments - Kaplan |
| Juliana Rajkovic | 2014 | Accredited Derivatives Advisor - Level 1 - ASIC ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Professional Diploma of Stockbroking - Stockbrokers Association of Australia |
| Kris James | 2016 | Bachelor of Commerce / Accounting - University of Ballarat ~ Core 1: Securities & Managed Investments - Stockbrokers Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan professional ~ Self Managed Super Fund - Kaplan Professional |
| Mark Cooper | 2017 | ASX Accredited Derivatives Adviser - Level 1 and 2 - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Certificate of Finance - Macquarie University ~ SDIA Accreditation Program - Deakin University ~ SDIA Margin Lending Accreditation - Deakin Prime |
| Rafi Jinnat | 2018 | Accredited Derivatives Advisor - Level 1 - Kaplan Professional ~ Bachelor of Economics - University of Western Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Applied Finance - Kaplan |
| Tim Cudlipp | 2014 | Core 1 (RG 146) Securities & Managed Investments - DeakinPrime ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Professional Diploma in Stockbroking - DeakinPrime ~ Superannuation Accreditation - DeakinPrime |
| Will Hauser | 2015 | Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Professional Diploma in Stockbroking - Deakin Prime |