This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
derivatives to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
managed investment schemes limited to MDA services to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients; and
securities to retail and wholesale clients.
Deal in a financial product limited to issue, apply for, acquire, vary or dispose of a financial product limited to:
managed investment schemes limited to MDA services to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
derivatives to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
managed investment schemes limited to MDA services to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients; and
securities to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| James Ronald Gerrish | 2004 | 2003 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Newcastle ~ 2004 - Accredited Derivatives Adviser Level 1 - Other - Kaplan Professional ~ 2010 - Margin Lending Accreditation - Other - Kaplan Professional ~ 2015 - Accredited Derivatives Adviser Level 2 - Other - Stockbrokers Association of Australia |
| Matthew Snodgrass | 2023 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd ~ 2024 - Accredited Derivatives Adviser Level 1 - Certificate (AQF 1-4) - Kaplan Higher Education Pty Ltd ~ 2024 - Accredited Derivatives Adviser Level 2 - Certificate (AQF 1-4) - Kaplan Higher Education Pty Ltd |