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;
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;
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;
interests in managed investment schemes excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services; and
securities;
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;
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; and
superannuation; and
underwriting:
interests in managed investment schemes; and
an issue of securities; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Glenn Adam Pycock | 2012 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2016 - Self Managed Super Funds - Certificate (AQF 1-4) - Kaplan Professional ~ 2018 - Graduate Diploma in Financial Planning - - Kaplan Professional ~ 2019 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Scott Tavis Mackenzie | 2001 | 2002 - Investment Planning 1 - Other - Integratec ~ 2004 - Superannuation & Retirement Planning - Other - Tribeca ~ 2011 - Regulatory Guide 146 Assessment - Other - Kaplan |
| Stuart Cross | 1996 | 1998 - Series 7,9,10,63 & 65 - Other - NASD ~ 2002 - Superannuation Module - - Securities Institute Education ~ 2003 - SDIA Accreditation Program Assessment - - Securities & Derivatives Industry Association ~ 2013 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2013 - Margin Lending Tier 1 - Other - Deakin Prime ~ 2013 - PS146 - Professional Diploma in Stockbroking - Professional Designations - Stockbrokers Association of Australia |