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;
standard margin lending facility;
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;
securities; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
underwriting:
an issue of securities; 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 |
|---|---|---|
| Arthur Garipoli | 2006 | ADA Level 1 - Kaplan ~ Bachelor Of Business (Accounting) - Phillip Institute of Technology ~ Certificate of Business Studies - Footscray TAFE College ~ Diploma of Financial Services - Financial Services Institute of Australasia ~ Margin Lending Accreditation - Stockbrokers Association of Australia |
| Luke Laretive | 2010 | Accredited Derivatives Adviser Level 1 & 2 - Deakin Prime ~ Bachelor of Commerce Major in Corporate Finance & Marketing - University of Western Australia ~ Margin Lending Accreditation Program - Kaplan Professional ~ Masters in Applied Finance - Monash University ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia |
| Victoria Schepisi | 2015 | ASX Responsible Executive - Kaplan Professional Education ~ Accredited Derivatives Adviser Level 2 - ADA2 - Stockbrokers Association of Australia ~ Bachelor of Arts (International Studies) Majoring in Economics and International Relations - Deakin University ~ Margin Lending Accreditation - Stockbrokers Association of Australia ~ Superannuation Accreditation - RMIT University |