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 restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA 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 restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
interests in managed investment schemes limited to:
own managed investment scheme only;
MDA services; 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 restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
foreign exchange contracts;
interests in managed investment schemes including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew James Martin | 2002 | 1982 - BACHELOR OF ECONOMICS - - UNIVERSITY OF SYDNEY ~ 1989 - ASSOCIATE DIPLOMA IN FINANCE & INVESTMENT - - SECURITIES INSTITUTE OF AUSTRALIA ~ 2003 - CERTIFICATE COMPETANCY RG146 SECURITIES,DERIVATIVES,FIN PLANNING, SUPER, MIS - - QUANTUM ~ 2015 - CERTIFICATE OF ATTAINMENT MARGIN LENDING TIER 1 - - DEAKIN PRIME ~ 2016 - INVESTMENT MANAGEMENT WORKSHOP - - HARVARD BUSINESS SCHOOL/CFA INSTITUTE |
| Bradley Michael Ross | 2016 | 1986 - B FINANCE AND ADMINISTRATION - - UNIVERSITY OF NEW ENGLAND ~ 1993 - CHARTERED ACCOUNTANT - - INSTITUTE OF CHARTERED ACCOUNTANTS AUSTRALIA ~ 2012 - CA SMSF SPECIALIST - - UNSW AUSTRALIAN SCHOOL OF BUSINESS ~ 2016 - DIPLOMA OF FINANCIAL PLANNING - - KAPLAN ~ 2016 - RESPONSIBLE MANAGER MASTERCLASS - - KAPLAN |
| Deepak Kumar Sachdev | 2018 | 2000 - B COMMERCE - - PANJAB UNIVERSITY CHANDIGARH INDIA ~ 2003 - CHARTERED ACCOUNTANT - - INSTITUTE OF CHARTERED ACCOUNTANTS INDIA ~ 2011 - CPA PROGRAM - - CPA AUSTRALIA ~ 2017 - ACCOUNTANTS SMSF PACKAGE - - KAPLAN ~ 2023 - SMSF Specialist Adviser - Professional Designations - SMSF Association |
| Melanie Jane Nutbeam | 1986 | 1980 - BACHELOR OF LAW - - AUCKLAND UNIVERSITY NZ ~ 1991 - GRADUATE DIPLOMA IN APPLIED FINANCE & INVESTMENT - - FINANCIAL SERVICES INSTITUTE AUSTRALASIA ~ 2002 - DIPLOMA OF FINANCIAL PLANNING - - FPA AUSTRALIA/DEAKIN UNIVERSITY ~ 2006 - INSURANCE & MPF INTERMEDIARIES QUALIFYING EXAMS - - VOCATIONAL TRAINING COUNCIL HONG KONG ~ 2010 - CERTIFICATE IN FINANCIAL PLANNING - - FINANCIAL PLANNING ASSOCIATION AUSTRALIA |
| Paul Xavier Israel | 2008 | 1997 - BACHELOR OF COMMERCE MAJOR ECONOMICS & BUSINESS LAW - - MACQUARIE UNIVERSITY ~ 2001 - POST GRADUATE DIPLOMA APPLIED FINANCE & INVESTMENT - - SECURITIES INSTITUTE AUSTRALIA ~ 2002 - SDIA ACCREDITATION PROGRAM ASIC PS146 - - DEAKIN PRIME UNIVERSITY ~ 2011 - CERTIFICATE OF ATTAINMENT MARGIN LENDING & GEARED INVESTMENTS - - KAPLAN PROFESSIONAL ~ 2015 - STATEMENT OF ATTAINMENT SUPERANNUATION AND SMSF - - FINANCIAL EDUCATION PROFESSIONALS |
| Ronelle Allison Wilson | 2016 | 1983 - B COMMERCE - - UNIVERSITY OF NSW ~ 1986 - CHARTERED ACCOUNTANT - - INSTITUTE OF CHARTERED ACCOUNTANTS AUSTRALIA ~ 2016 - STATEMENT OF ATTAINMENT FINANCIAL PLANNING - - KAPLAN ~ 2016 - STATEMENT OF ATTAINMENT SMSF AND SUPERANNUATION - - KAPLAN |