This licence authorises the licensee to carry on a financial services business to:
provide financial product advice for the following classes of financial products:
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
securities; 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:
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
arranging for another person to issue, apply for, acquire, vary or dispose of a financial product in respect of the following classes of financial products:
superannuation;
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
superannuation; and
underwriting:
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Richard Heydon | 1996 | DTR - ASX ~ DTR - ASX ~ Level 2 Accredited Derivatives Advisor - ASIC ~ Level 2 Accredited Derivatives Advisor - ASIC ~ Margin Lending & Geared Investments - Kaplan ~ Margin Lending & Geared Investments - Kaplan |