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 |
---|---|---|
Christopher Stephen John Pearce | 1997 | Fundamentals of Fixed Interest Investing - Securities Institute Education ~ Level One & Two Accredited Derivatives Adviser - ASX ~ PS146 - Pembroke Josephson Wright Ltd ~ Stock Markets and Products - Securities Institute ~ Superannuation: Advice and Regulation (511) - Securities Institute |
Dylan Mail | 2003 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Bachelor Of Commerce - University Of Queensland ~ Bachelor Of Commerce - University Of Queensland ~ Graduate Diploma of Financial Planning - Securities Institute of Australia ~ Graduate Diploma of Financial Planning - Securities Institute of Australia |
Fraser John Kahler | 1998 | ASX Accredited Derivatives Adviser - Tribeca ~ Bachelor of Business - The University of Southern Queensland ~ Diploma in Market Research - MRSA ~ Graduate Diploma of Financial Planning - Securities Institute ~ Self Managed Superannuation Funds - Kaplan |
Thomas Quintin Gainey | 0 | Bachelor of Commerce - Griffith University |