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; and
foreign exchange contracts; and
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product to wholesale clients only in respect of the following classes of financial products:
derivatives; and
arranging for another person to issue, apply for, acquire, vary or dispose 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
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 including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; and
superannuation; and
applying for, acquiring, varying or disposing of a financial product to wholesale clients only on behalf of another person in respect of the following classes of products:
derivatives; 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 | 1992 - Bachelor of Business (Accounting & Finance) - - University of Technology, Sydney ~ 1995 - Master of Commerce - - The University of New South Wales ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Pty Ltd ~ 2017 - Diploma of Financial Planning - - Mentor Education Pty Ltd |
| Jason Chequer | 1999 | 1992 - Bachelor Degree - Commerce - - Melbourne University ~ 2000 - Diploma - Financial Planning - - Deakin University |
| Maria Paonessa | 2000 | 1999 - CPA - - CPA Australia ~ 2003 - Graduate Diploma in Financial Planning - - FINSIA ~ 2010 - Risk Insurance - - Garvan Financial Planning ~ 2011 - RG146 Margin Lending - - SAA/DeakinPrime |