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;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products limited to:
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;
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; and
foreign exchange contracts; and
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;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products limited to:
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alan Crute | 1985 | ADA2 - ASX ~ ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Graduate Diploma in Accounting - Victoria College ~ Margin Lending - Stockbrokers Association of Australia |
| Benjamin Lee Daniel Green | 2002 | Diploma of Financial Services FNB50199 - Securities Institute |
| Christopher Forte | 2002 | Derivatives ADA 2 - Deakin ~ Derivatives ADA1 - Deakin ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ RG146 - SDIA |
| Ci-ming Lin | 1996 | ADA1 - ASX ~ ASIC PS146 Compliance (Securities and Managed Investments) - Securities and Derivatives Industry Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Stockbrokers Association of Australia ~ Professional Diploma in Stockbroking - Stockbrokers Association of Australia |
| Daniel Edward Mcfarlane | 2009 | Foreign Exchange - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ PS 146 - Deakin University ~ Superannuation - RMIT University |
| David Thang | 2014 | Bachelor of Business (Financial Planning) - Royal Melbourne Institute of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ RG 146 - Monarch Institute ~ SAFAA Accredited Derivatives Adviser Level 1 (ADA1) Accreditation - SAFAA |
| Dinesh Magesan | 2004 | Margin Lending Accreditation Program - Deakin Prime Corporate Education ~ RG146 Compliant - Kaplan |
| Don Anton Prasanna Wickramatunge | 1996 | Accredited Derivatives Advisers Level 2 - Kaplan ~ Chartered Financial Analyst - CFA Institute ~ Chartered Institute of of Management Accountants - Chartered Institute of Management Accountants (CIMA - UK) ~ Masters in Business Administration - Postgraduate Institute of Sir Lanka ~ RG 146 - Securities Institute of Australia |
| Enzo Salvatore | 1994 | Bachelor of Economics - Flinders University of South Australia ~ Foreign Exchange - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ PS 146 - Securities Institute of Australia ~ Superannuation - RMIT University |
| Katherine Louise Hanrahan | 2000 | Bachelor of Economics - La Trobe University ~ Margin Lending & Geared Investments - Kaplan ~ PS 146 - Securities Institute of Australia ~ Superannuation - RMIT University |
| Michael Hevern | 2011 | RG 146 Diploma Level Tier 1 - Financial Education Professionals |
| Nick Katiforis | 2015 | Derivatives Accreditation ADA2 - ASX/Tribeca ~ Grad Dip Applied Finance and Investment - SIA / SAA ~ RG146 Securities and MI - SDIA / SAA |
| Patrick Dominic Trindade | 2010 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Foreign Exchange - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ Superannuation - RMIT University |
| Robin Firth Hughes | 1990 | ADA2 - Australian Stockbrokers Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ RG146 - Kaplan |
| Rohan Talwar | 2011 | Bachelor of Business Studies (Accounting) - Monash University ~ Bachelor of Computing (Information Systems) - Monash University ~ FPC002B Ethics and Professionalism in Financial Advice - KAPLAN |
| Rowland Jiang | 2017 | Accredited Derivatives Adviser Level 1 - Stockbrokers Association ~ Accredited Derivatives Adviser Level 2 - Stockbrokers Association ~ Bachelor of Science (Advanced Mathematics) (Honours) - Sydney University ~ Core 1 Securities & Managed Investments Accreditation Program - Stockbrokers Association ~ Margin Lending Accreditation Program - Stockbrokers Association |