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; 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;
interests in managed investment schemes including:
investor directed portfolio 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;
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;
securities;
standard margin lending facility; and
superannuation; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Amrit Pal Singh Malhotra | 2018 | 2014 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Anthony DE Nicola | 2002 | 2006 - ASX ADA Renewal 2006 - - Kaplan Professional ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2013 - Self Managed Superannuation Fund - - Kaplan Professional Education |
| Bryce John William Gould | 2018 | 2010 - Bachelor of Engineering (Civil & Construction) - Bachelor Honours Degree (AQF 8) - Curtin University ~ 2017 - Masters in Finance - Masters Degree (AQF 9) - IESEG School of Management |
| Dale Maurice Raynes | 1998 | 1990 - Bachelor of Commerce - - University of Western Australia ~ 2001 - Financial Advising Essentials - C4 - - Securities Institute Education ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2019 - FASEA Exam - Other - FASEA |
| Guy Touzeau LE Page | 1992 | 1985 - Bachelor of Science (Geology) - Bachelor Degree (AQF 7) - University of Adelaide ~ 1989 - Bachelor of Applied Science (hons) - Bachelor Honours Degree (AQF 8) - Curtin University ~ 1994 - Masters of Business Administration - Masters Degree (AQF 9) - University of Adelaide ~ 1995 - Graduate Diploma of Applied Finance & Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2020 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Mark William Swan | 1986 | 1985 - Bachelor of Commerce (finance and accounting) - Bachelor Degree (AQF 7) - University of Western Australia ~ 2002 - SDIA Accreditation Program Assessment - Securities, Futures & Management Investments - - Deakin University ~ 2003 - Superannuation - - RMIT University ~ 2004 - Level Two - Derivatives - - ASX ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional |
| Nhat Anh Hoang | 2018 | 2014 - Bachelor of Actuarial Studies - Bachelor Degree (AQF 7) - The Australian National University ~ 2014 - Bachelor of Finance - Bachelor Degree (AQF 7) - The Australian National University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology |
| Nicholas Dempster | 2004 | 1998 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Western Australia ~ 2005 - ASX Accredited Derivatives Adviser Level One - - Tribeca ~ 2005 - ASX Accredited Derivatives Adviser Level Two - - Tribeca ~ 2006 - Graduate Certificate in Applied Finance and Investment - Graduate Certificate (AQF 8) - FINSIA ~ 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA |
| Peter Darren Russell | 1987 | 2002 - Diploma in Stockbroking - Diploma (AQF 5) - Deakin Prime University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional |
| Vincenzo Vallelonga | 2007 | 2004 - Bachelor of Business - Double Major in Accounting & Finance - Bachelor Degree (AQF 7) - Edith Cowan University ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2011 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA Education ~ 2011 - Masters of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional |