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 | Bachelor of Commerce - University of Queensland ~ Bachelor of Commerce - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Graduate Diploma in Applied Finance and investment - Kalan ~ Graduate Diploma in Applied Finance and investment - Kalan ~ Professional Diploma in Stockbroking - Deakin Prime University ~ Professional Diploma in Stockbroking - Deakin Prime University |
| Kenneth Patrick Howard | 1996 | ASX/ACH Responsible Executive Exam - ASX ~ ASX/ACH Responsible Executive Exam - ASX ~ Bachelor of Economics - University of Queensland ~ Bachelor of Economics - University of Queensland ~ Bachelor of Laws - University of Queensland ~ Bachelor of Laws - University of Queensland ~ Chartered Financial Analyst - CFA - CFA Instituted ~ Chartered Financial Analyst - CFA - CFA Instituted ~ Graduate Diploma in Applied finance and investment - Securities Institute of Australia ~ Graduate Diploma in Applied finance and investment - Securities Institute of Australia |
| Luke Mcelwaine | 2008 | Bachelor of Commerce - University of Queensland ~ Bachelor of Commerce - University of Queensland ~ Graduate Diploma of Applied Finance & Investment - Securities Institute Australia ~ Graduate Diploma of Applied Finance & Investment - Securities Institute Australia |
| Mark Gerald Davies | 1993 | Certificate in Financial Markets - Securities Institute Australia ~ Certificate in Financial Markets - Securities Institute Australia ~ Margin Lending & Geared Investments - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ SDIA Accreditation Program - Tier 1 - Deakin Prime ~ SDIA Accreditation Program - Tier 1 - Deakin Prime |