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;
securities;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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 limited to:
MDA services; and
financial products limited to:
miscellaneous financial investment products limited to 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;
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;
securities;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; 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 |
|---|---|---|
| Franklin Djohan | 2016 | 1999 - Diploma of Business & Commerce - - Inseach Institute of Commerce Sydney ~ 2001 - Bachelor of Business in Accounting & Finance - - University of Technology Sydney ~ 2003 - Master of Business & Administraion - - University of Technology Sydney ~ 2016 - Tier 1 - Securities, Managed Investments, Generic Knowledge, Derivatives - - Kaplan Education Pty Ltd |
| Jillian Gayle May | 2002 | 1995 - Money Market Module - - Securities Institute Education ~ 1996 - Certificate in Financial Markets - - Securities Institute Education ~ 2003 - Bachelor of Business (Banking and Finance) - - Monash University ~ 2011 - Balance Sheet Management for Mutual ADIs - - AM Institute ~ 2017 - Diploma in Financial Planning - - Kaplan |
| Peter James Reed | 2001 | 1985 - Bachelor of Economics - - University of Sydney ~ 1987 - Bachelor of Laws - - University of Sydney ~ 2008 - Equivalent Full Diploma Tier 1 -Gen. Knowledge, Securities, Derviatives, Managed Investments & Super - - Financial Education Professionals Pty Ltd |