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;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; 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 limited to:
old law securities options contracts and warrants; and
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 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Allan Furlong | 2002 | 2002 - PS 146 Compliance Program, Module: Generic Securities - Other - Securities Institute of Australia |
| Benjamin Gratzer | 2006 | 2006 - Tier 1 Compliance solution - - Finsia |
| David Bede Greenfield | 2018 | 1998 - Bachelor of Commerce - - Macquarie University ~ 2018 - Core 1 Securities & Managed Investments Accreditation (ASIC RG 146) - - SAFAA |
| Joel Tilbrook | 2018 | 2007 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - Macquarie University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Malcolm Eric Palmer | 1993 | 1986 - The Securities Institute Certificate Course - Other - The Securities Institute of Australia ~ 1993 - ASX Affiliate - - ASX ~ 2004 - ASX Responsible Executive - - Tribeca |
| Maria Webb | 2013 | 2003 - Bachelor of Commerce (Finance and Economics) - Bachelor Degree (AQF 7) - The University of Sydney ~ 2009 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd ~ 2025 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education Pty Ltd ~ 2025 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Ltd |
| Ravi Agarwal | 2012 | 2013 - Diploma of Financial Planning - - Kaplan |