This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice to wholesale clients only for the following classes of financial products:
(i) non-standard margin lending facility; and
deal in a financial product to wholesale clients only by:
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of financial products:
non-standard margin lending facility; and
(c) 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 limited to:
old law securities options contracts and warrants;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products;
(d) deal in a financial product to retail and wholesale clients by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives limited to:
old law securities options contracts and warrants;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products;
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 limited to:
old law securities options contracts and warrants;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products; and
underwriting:
interests in managed investment schemes; and
an issue of securities; and
(e) 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 |
|---|---|---|
| Andrew Douglas Marton Swaffer | 2000 | Bachelor of Accountancy (Honours) - University of South Australia ~ Bachelor of Accountancy - University of South Australia ~ Graduate Diploma in Applied Finance and Investment - FINSIA |
| Campbell Dinwoodie Taylor | 1997 | Bachelor of Accountancy - University of South Australia ~ RG 146 - Stockbrokers and Financial Advisers Association of Australia |
| Christopher James Eddington | 2012 | Bachelor of Commerce (Corporate Finance) - Adelaide University ~ RG146 - Deakin Prime |
| David Arthur Cutten | 1995 | Bachelor of Arts in Accounting - University of SA ~ Graduate Diploma in Applied Finance and Investment - FINSIA |
| David Malcolm Pittman | 1993 | Bachelor of Economics - Flinders University of South Australia |
| Emilia Seto | 2009 | ADA Level 1 - Deakin Prime ~ Masters in Applied Finance (MAppFin) - Kaplan |
| Grant Gerard Siegertsz | 1990 | Diploma (Financial Planning) - Financial Planning Assoc. of Aust ~ Graduate Diploma in Applied Finance and Investment - FINSIA |
| Karl Von Sanden | 2018 | Accredited Derivatives Adviser Level 1 - ADA1 - Stockbroker and Financial Advisers Association ~ Accredited Derivatives Adviser Level 2 - ADA2 - Stockbroker and Financial Advisers Association ~ Core 1 Securities and Managed Investments Accrediation Program - Stockbrokers Association ~ Margin Lending Accreditation Program - Stockbrokers and Financial Advisers Association ~ Professional Diploma in Stockbroking - Stockbrokers Association |
| Kyle Sutton | 2017 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Corporate Finance) - The University of Adelaide ~ Diploma of Financial Planning - Integrity Education Group |
| Mark Andrew Harris | 2007 | Bachelor of Commerce (Marketing) - University of Adelaide ~ Bachelor of Law - University of Adelaide ~ Graduate Diploma in Applied Finance and Investment - FINSIA ~ Post Graduate Diploma in Financial Planning - FINSIA ~ RG146 - Stockbrokers Association |
| Mark Edward Pittman | 1980 | ASX/SCH Responsible Executive - Stockbrokers Association ~ Bachelor of Accounting - South Australian Insititute of Technology |
| Nathan Andrew Daniel | 2014 | Bachelor of Commerce (Corp Fin and Accounting) - University of Adelaide ~ RG 146 - Stockbrokers and financial Advisers Association |
| Nicolaas Seret | 2004 | Bachelor of Commerce (International Business) - Uni SA ~ Graduate Diploma in Applied Finance and Investment - FINSIA |
| Robert Darius Fraser | 1989 | Bachelor of Economics - University of Sydney ~ Bachelor of Laws (Honours) - University of Sydney ~ Business Broking Agent - NSW Fair Trading ~ Real Estate Agent - NSW Fair Trading |
| Stephen Stanislaus Gibson Spencer | 2007 | ASX/SCH Responsible Executive - Kaplan ~ BComm (Acctg) - Deakin University ~ Graduate Diploma of Applied Corporate Governance - Governance Institute of Australia ~ MBAA - University of Adelaide ~ Rg146 - Deakin Prime |
| Susan Antoun | 2008 | Bachelor of Economics (Accounting) - Flinders University of South Australia ~ Certified Compliance Professional (CCP) - Australasian Compliance Institute ~ Rg146 - Deakin Prime |
| Tanya Lynne Cobby | 2004 | Graduate Diploma in Applied Finance and Investment - FINSIA ~ SDIA RG146 Accreditation Program - Stockbrokers Association of Australia |