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;
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;
securities;
standard margin lending facility; 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
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;
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;
securities;
standard margin lending facility; and
superannuation;
to retail clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Hamish Robbie Dee | 1993 | 1992 - Bachelor of Commerce - - University of Queensland ~ 1993 - Bachelor of Economics - - University of Queensland ~ 1997 - Graduate Diploma in Applied Finance and investment - Graduate Diploma (AQF 8) - Kalan ~ 2010 - Professional Diploma in Stockbroking - - Deakin Prime University |
| Kenneth Patrick Howard | 1996 | 1992 - Bachelor of Economics - - University of Queensland ~ 1996 - Bachelor of Laws - - University of Queensland ~ 1997 - Graduate Diploma in Applied finance and investment - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2004 - Chartered Financial Analyst - CFA - - CFA Instituted ~ 2007 - ASX/ACH Responsible Executive Exam - - ASX |
| Luke Mcelwaine | 2008 | 1993 - Bachelor of Commerce - - University of Queensland ~ 2006 - Graduate Diploma of Applied Finance & Investment - Graduate Diploma (AQF 8) - Securities Institute Australia |
| Mark Gerard Majella Davies | 1993 | 1996 - Certificate in Financial Markets - - Securities Institute Australia ~ 2002 - SDIA Accreditation Program - Tier 1 - Other - Deakin Prime ~ 2011 - Margin Lending & Geared Investments - - Kaplan |