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 | 1986 - Graduate Diploma in Accounting - Graduate Diploma (AQF 8) - Victoria College ~ 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2009 - Accredited Derivatives Adviser Level 2 - Other - ASX ~ 2010 - Margin Lending Accreditation Program - Other - Stockbrokers Association of Australia |
| Benjamin Lee Daniel Green | 2002 | 2005 - Diploma of Financial Services FNB50199 - Diploma (AQF 5) - Securities Institute |
| Christopher Forte | 2002 | 2002 - Derivatives ADA1 - - Deakin ~ 2002 - RG146 - - SDIA ~ 2016 - Derivatives ADA 2 - Certificate (AQF 1-4) - Deakin ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Ci-ming Lin | 1996 | 2002 - ASIC PS146 Compliance (Securities and Managed Investments) - - Securities and Derivatives Industry Association ~ 2003 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2008 - Accredited Derivatives Adviser Level 1 - Other - ASX ~ 2010 - Margin Lending - - Stockbrokers Association of Australia ~ 2010 - Stockbrokers Association of Australia Professional Diploma in Stockbroking - Professional Designations - Stockbrokers Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Daniel Edward Mcfarlane | 2009 | 2007 - Superannuation - - RMIT University ~ 2007 - The Securities & Derivatives Industry Association (SDIA) Accreditation Progrom - Other - Deakin University ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2013 - Foreign Exchange - - Kaplan |
| David Thang | 2014 | 2007 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2014 - RG 146 - Other - Monarch Institute ~ 2019 - SAFAA Accredited Derivatives Adviser Level 1 (ADA1) Accreditation - Other - SAFAA ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Dinesh Magesan | 2004 | 2004 - RG146 Compliant - - Kaplan ~ 2009 - Core 2 Professional Standards Accreditation Program - Other - Securities & Derivatives Industry Association ~ 2011 - Margin Lending Accreditation Program - Other - Stockbrokers Association of Australia |
| Don Anton Prasanna Wickramatunge | 1996 | 1999 - Master of Business Administration - Masters Degree (AQF 9) - University of Sri Jayewardenepura ~ 2001 - Chartered Financial Analyst - Professional Designations - Association for Investment Management and Research ~ 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2011 - Margin Lending Accreditation Program - Other - Stockbrokers Association of Australia ~ 2012 - Accredited Derivatives Adviser Level 2 - Other - Kaplan |
| Enzo Salvatore | 1994 | 1987 - Bachelor of Economics - - Flinders University of South Australia ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2013 - Foreign Exchange - - Kaplan ~ 2016 - Accredited Derivatives Adviser Level 1 - ADA 1 - Certificate (AQF 1-4) - Deakin Prime ~ 2016 - Stockbrokers Association of Australia Professional Diploma in Stockbroking - Diploma (AQF 5) - Deakin Prime |
| Katherine Louise Hanrahan | 2000 | 1990 - Bachelor of Economics - Bachelor Degree (AQF 7) - La Trobe University ~ 2008 - Superannuation - - RMIT University ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2016 - Accredited Derivatives Adviser Level 1 - ADA 1 - Certificate (AQF 1-4) - Deakin Prime ~ 2016 - Stockbrokers Association of Australia Professional Diploma in Stockbroking - Diploma (AQF 5) - Deakin Prime |
| Michael Hevern | 2011 | 2018 - RG 146 Diploma Level Tier 1 - - Financial Education Professionals |
| Nick Katiforis | 2015 | 2001 - Grad Dip Applied Finance and Investment - - SIA / SAA ~ 2006 - RG146 Securities and MI - - SDIA / SAA ~ 2008 - Derivatives Accreditation ADA2 - - ASX/Tribeca |
| Patrick Dominic Trindade | 2010 | 1999 - Bachelor of Commerce - - Deakin University ~ 2007 - Superannuation - - RMIT University ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2013 - Foreign Exchange - - Kaplan ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Robin Firth Hughes | 1990 | 2016 - ADA2 - Other - Australian Stockbrokers Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Taxation for Financial Planning - Other - Kaplan Professional |
| Rohan Talwar | 2011 | 1992 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Monash University ~ 1992 - Bachelor of Computing (Information Systems) - Bachelor Degree (AQF 7) - Monash University ~ 1995 - Certified Practicing Accountant - Professional Designations - CPA Australia ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Rowland Jiang | 2017 | 2010 - Bachelor of Science (Advanced Mathematics) - Bachelor Honours Degree (AQF 8) - The University of Sydney ~ 2015 - Accredited Derivatives Adviser Level 1 - - Stockbrokers Association ~ 2015 - Core 1 Securities & Managed Investments Accreditation Program - - Stockbrokers Association ~ 2016 - Accredited Derivatives Adviser Level 2 - - Stockbrokers Association ~ 2017 - Margin Lending Accreditation Program - Certificate (AQF 1-4) - Stockbrokers Association ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |