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 |
|---|---|---|
| Alexander Isaac Woodgate | 1996 | ASIC PS146 -Life Insurance - ITC ~ Bachelor of Economics - Murdoch University ~ Life Track - Lumley Life Limited ~ Margin Lending & Geared Investments - Kaplan Education ~ Master of Commerce (Financial Planning) - University of Western Sydney |
| Amrit Pal Singh Malhotra | 2018 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Anthony DE Nicola | 2002 | ASX ADA Renewal 2006 - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Fund - Kaplan Professional Education |
| Anthony Raymond Cunningham | 1995 | ASX Markets Responsible Executive - Kaplan Professional ~ Bachelor of Commerce - Murdoch University ~ FASEA Exam - FASEA ~ Graduate Diploma of Applied Geology - Curtin University ~ Margin Lending and Geared Investments - Kaplan |
| Bryce John William Gould | 2018 | Bachelor of Engineering (Civil & Construction) - Curtin University ~ Masters in Finance - IESEG School of Management |
| Dale Maurice Raynes | 1998 | Bachelor of Commerce - University of Western Australia ~ FASEA Exam - FASEA ~ Financial Advising Essentials - C4 - Securities Institute Education ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia |
| Guy Touzeau LE Page | 1992 | Bachelor of Applied Science (hons) - Curtin University ~ Bachelor of Science (Geology) - University of Adelaide ~ Graduate Diploma of Applied Finance & Investment - FINSIA ~ Masters of Business Administration - University of Adelaide ~ Masters of Financial Planning - Kaplan |
| Mark William Swan | 1986 | Bachelor of Commerce (finance and accounting) - University of Western Australia ~ Level Two - Derivatives - ASX ~ Margin Lending & Geared Investments - Kaplan Professional ~ SDIA Accreditation Program Assessment - Securities, Futures & Management Investments - Deakin University ~ Superannuation - RMIT University |
| Nhat Anh Hoang | 2018 | Bachelor of Actuarial Studies - The Australian National University ~ Bachelor of Actuarial Studies - The Australian National University ~ Bachelor of Finance - The Australian National University ~ Bachelor of Finance - The Australian National University ~ Diploma of Financial Planning - International Institute of Technology ~ Diploma of Financial Planning - International Institute of Technology |
| Nicholas Dempster | 2004 | ASX Accredited Derivatives Adviser Level One - Tribeca ~ ASX Accredited Derivatives Adviser Level Two - Tribeca ~ Bachelor of Economics - University of Western Australia ~ Graduate Certificate in Applied Finance and Investment - FINSIA ~ Graduate Diploma of Financial Planning - FINSIA |
| Peter Darren Russell | 1987 | Diploma in Stockbroking - Deakin Prime University ~ Margin Lending and Geared Investments - Kaplan Professional |
| Vincenzo Vallelonga | 2007 | Bachelor of Business - Double Major in Accounting & Finance - Edith Cowan University ~ Graduate Diploma of Financial Planning - FINSIA Education ~ Margin Lending & Geared Investments - Kaplan Professional ~ Masters of Applied Finance - Kaplan Professional |