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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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:
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| Anthony Barry Garnham | 2004 | 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2012 - ASX Accredited Derivatives Adviser Level 1 - - Kaplan Professional ~ 2012 - ASX Accredited Derivatives Adviser Level 2 - - Kaplan Professional |
| Christopher Stephen John Pearce | 1997 | 1998 - Level One & Two Accredited Derivatives Adviser - - ASX ~ 1998 - PS146 - - Pembroke Josephson Wright Ltd ~ 1999 - Fundamentals of Fixed Interest Investing - - Securities Institute Education ~ 2001 - Stock Markets and Products - - Securities Institute ~ 2002 - Superannuation: Advice and Regulation (511) - - Securities Institute |
| Dylan Mail | 2003 | 1995 - Bachelor Of Commerce - - University Of Queensland ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan Professional Education |
| Fraser John Kahler | 1998 | 1996 - Bachelor of Business - - The University of Southern Queensland ~ 1996 - Diploma in Market Research - - MRSA ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2005 - ASX Accredited Derivatives Adviser - - Tribeca ~ 2007 - Self Managed Superannuation Funds - - Kaplan |
| Richard Samuel Bennett | 1986 | 1984 - Bachelor of Commerce - - University of Queensland ~ 1985 - Bachelor of Economics - - University of Queensland ~ 1986 - Graduate Diploma - - Securities Institute of Australia ~ 2003 - RG146 - - Kaplan |
| Scott Thomas Healy | 1995 | 1995 - Bachelor of Business - - Queensland University of Technology ~ 1998 - Accredited Derivatives Adviser Level 2 Exam - - Australian Stock Exchange ~ 1998 - Graduate Diploma in Applied Finance and Investment - - Securities Institute Education ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia |
| Thomas Quintin Gainey | 2024 | 2023 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University |