This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
general insurance products;
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;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes including:
investor directed portfolio services; and
securities; and
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients 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;
general insurance products;
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 limited to:
MDA services;
standard margin lending facility; and
superannuation; and
provide the following custodial or depository services to retail and wholesale clients:
operate custodial or depository services other than investor directed portfolio services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alexander (sandy) Michael Basten | 2017 | Bachelor of Business (Accounting & Finance) - University of Technology, Sydney ~ Diploma of Financial Planning - Mentor Education Pty Ltd ~ Margin Lending and Geared Investments - Kaplan Professional Pty Ltd ~ Master of Commerce - The University of New South Wales |
| James Carrington Wright | 2018 | Bachelor of Economics (Hons) - Monash University |
| Jason Chequer | 1999 | Bachelor Degree - Commerce - Melbourne University ~ Diploma - Financial Planning - Deakin University |
| Luke Hansen | 2018 | Accredited Derivatives Advisor Level 2 - Kaplan Education ~ Bachelor of Arts - The University of Melbourne ~ Bachelor of Commerce - The University of Melbourne ~ Diploma of Financial Markets - Australian Financial Markets Association ~ RG146 - Stockbrokers And Financial Advisers Association |
| Maria Paonessa | 2000 | CPA - CPA Australia ~ Graduate Diploma in Financial Planning - FINSIA ~ RG146 Margin Lending - SAA/DeakinPrime ~ Risk Insurance - Garvan Financial Planning |