This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to wholesale clients only for the following classes of financial products:
non standard margin lending facility; and
deal in a financial product to wholesale clients only by:
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of financial products:
non standard margin lending facility; and
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;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
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;
standard margin lending facility; and
superannuation; and
deal in a financial product to retail and wholesale clients by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services;
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;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products including:
investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds; and
life risk insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
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;
standard margin lending facility; and
superannuation; and
underwriting to retail and wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes; and
an issue of securities;
Name | First provided advice | Qualification and trainings |
---|---|---|
Elliott James Hodder | 2018 | Bachelor of Commerce - UWA |
James Hodder | 1984 | Bachelor of Engineering - UWA ~ Grad Diploma - Securities - Securities Institute of Aust ~ Masters of Business Admin - Melbourne Uni |