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 | ASSOCIATE DIPLOMA IN FINANCE & INVESTMENT - SECURITIES INSTITUTE OF AUSTRALIA ~ BACHELOR OF ECONOMICS - UNIVERSITY OF SYDNEY ~ CERTIFICATE COMPETANCY RG146 SECURITIES,DERIVATIVES,FIN PLANNING, SUPER, MIS - QUANTUM ~ CERTIFICATE OF ATTAINMENT MARGIN LENDING TIER 1 - DEAKIN PRIME ~ INVESTMENT MANAGEMENT WORKSHOP - HARVARD BUSINESS SCHOOL/CFA INSTITUTE |
| Bradley Michael Ross | 2016 | B FINANCE AND ADMINISTRATION - UNIVERSITY OF NEW ENGLAND ~ CA SMSF SPECIALIST - UNSW AUSTRALIAN SCHOOL OF BUSINESS ~ CHARTERED ACCOUNTANT - INSTITUTE OF CHARTERED ACCOUNTANTS AUSTRALIA ~ DIPLOMA OF FINANCIAL PLANNING - KAPLAN ~ RESPONSIBLE MANAGER MASTERCLASS - KAPLAN |
| Deepak Kumar Sachdev | 2018 | ACCOUNTANTS SMSF PACKAGE - KAPLAN ~ B COMMERCE - PANJAB UNIVERSITY CHANDIGARH INDIA ~ CHARTERED ACCOUNTANT - INSTITUTE OF CHARTERED ACCOUNTANTS INDIA ~ CPA PROGRAM - CPA AUSTRALIA |
| Melanie Jane Nutbeam | 1986 | BACHELOR OF LAW - AUCKLAND UNIVERSITY NZ ~ BACHELOR OF LAW - AUCKLAND UNIVERSITY NZ ~ CERTIFICATE IN FINANCIAL PLANNING - FINANCIAL PLANNING ASSOCIATION AUSTRALIA ~ CERTIFICATE IN FINANCIAL PLANNING - FINANCIAL PLANNING ASSOCIATION AUSTRALIA ~ DIPLOMA OF FINANCIAL PLANNING - FPA AUSTRALIA/DEAKIN UNIVERSITY ~ DIPLOMA OF FINANCIAL PLANNING - FPA AUSTRALIA/DEAKIN UNIVERSITY ~ GRADUATE DIPLOMA IN APPLIED FINANCE & INVESTMENT - FINANCIAL SERVICES INSTITUTE AUSTRALASIA ~ GRADUATE DIPLOMA IN APPLIED FINANCE & INVESTMENT - FINANCIAL SERVICES INSTITUTE AUSTRALASIA ~ INSURANCE & MPF INTERMEDIARIES QUALIFYING EXAMS - VOCATIONAL TRAINING COUNCIL HONG KONG ~ INSURANCE & MPF INTERMEDIARIES QUALIFYING EXAMS - VOCATIONAL TRAINING COUNCIL HONG KONG |
| Paul Xavier Israel | 2008 | BACHELOR OF COMMERCE MAJOR ECONOMICS & BUSINESS LAW - MACQUARIE UNIVERSITY ~ CERTIFICATE OF ATTAINMENT MARGIN LENDING & GEARED INVESTMENTS - KAPLAN PROFESSIONAL ~ POST GRADUATE DIPLOMA APPLIED FINANCE & INVESTMENT - SECURITIES INSTITUTE AUSTRALIA ~ SDIA ACCREDITATION PROGRAM ASIC PS146 - DEAKIN PRIME UNIVERSITY ~ STATEMENT OF ATTAINMENT SUPERANNUATION AND SMSF - FINANCIAL EDUCATION PROFESSIONALS |
| Ronelle Allison Wilson | 2016 | B COMMERCE - UNIVERSITY OF NSW ~ CHARTERED ACCOUNTANT - INSTITUTE OF CHARTERED ACCOUNTANTS AUSTRALIA ~ STATEMENT OF ATTAINMENT FINANCIAL PLANNING - KAPLAN ~ STATEMENT OF ATTAINMENT SMSF AND SUPERANNUATION - KAPLAN |