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;
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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; 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;
securities; and
financial products limited to:
miscellaneous financial investment products 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;
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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Gary Robert Glover | 2004 | 1993 - Bachelor of Business - - Queensland University of Technology ~ 1998 - Graduate Diploman in Applied Finance and Investment - - Securities of Australia ~ 2005 - Derivatives Level 1 and 2 - - Kaplan |
| Graham Maunder | 2002 | 2002 - ADA2 - - The Securities Institute of Australia ~ 2002 - PS146 Compliance (Securities and Managed Investments) - - The Securities Institute of Australia ~ 2010 - Margin Lending - - KAPLAN ~ 2011 - Responsible Executive Exam - - Stockbrokers Association of Australia ~ 2011 - Superannuation - - Stockbrokers Association of Australia |
| John Maroules | 2011 | 2005 - Bachelor of Business - - James Cook University ~ 2010 - Core 1 Securities and Managed Investments Accreditation Program - - Stockbrokers Association of Australia ~ 2011 - Margin Lending - - Stockbrokers Association of Australia ~ 2011 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2011 - Superannuation - - Stockbrokers Association of Australia |
| Joseph Benjamin Andary | 2010 | 2006 - Bachelor of Business - - Queensland University of Technology ~ 2010 - Accredited Derivatives 1 & 2 - - Stockbrokers Association ~ 2010 - Margin Lending Accreditation - - Deakin Prime/ Stockbrokers Association |
| Patrick Ian Shepherd | 2015 | 2010 - Diploma in Financial Services - - AFMA ~ 2013 - Macquarie University - - Master of Management ~ 2014 - Macquarie University - - MBA |
| Paul Rhigas | 2014 | 2013 - 923 Securities - - Kaplan Professional Education ~ 2013 - ADA1 - - Kaplan Professional Education ~ 2013 - Derivatives General Advice - - Mentor Education Group ~ 2014 - ADA2 - - Kaplan Professional Education |
| Rebecca Maher | 2017 | 2008 - Bachelor of Business - - University of Technology Sydney ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan |
| Sara Noel Harman | 1981 | 1989 - Business Studies - Public Relations - - Royal Melbourne Institute of Technology ~ 2001 - Masters in Arts Journalism - - University of Technology, Sydney ~ 2004 - Certificate in Financial Markets - - Securities Institute ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2014 - ADA Derivatives Update 1 and 2 - - Kaplan Professional |