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 | 1993 - Bachelor of Accountancy - - University of South Australia ~ 1995 - Bachelor of Accountancy (Honours) - - University of South Australia ~ 2000 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA |
| Campbell Dinwoodie Taylor | 1997 | 1996 - Bachelor of Accountancy - - University of South Australia ~ 2002 - RG 146 - - Stockbrokers and Financial Advisers Association of Australia |
| Christopher James Eddington | 2012 | 2012 - Bachelor of Commerce (Corporate Finance) - - Adelaide University ~ 2012 - RG146 - - Deakin Prime |
| David Arthur Cutten | 1995 | 1991 - Bachelor of Arts in Accounting - - University of SA ~ 1998 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA |
| David Malcolm Pittman | 1993 | 1990 - Bachelor of Economics - - Flinders University of South Australia |
| Grant Gerard Siegertsz | 1990 | 1992 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 1998 - Diploma (Financial Planning) - - Financial Planning Assoc. of Aust |
| Karl Von Sanden | 2018 | 2017 - Accredited Derivatives Adviser Level 1 - ADA1 - - Stockbroker and Financial Advisers Association ~ 2017 - Accredited Derivatives Adviser Level 2 - ADA2 - - Stockbroker and Financial Advisers Association ~ 2017 - Core 1 Securities and Managed Investments Accrediation Program - - Stockbrokers Association ~ 2017 - Margin Lending Accreditation Program - - Stockbrokers and Financial Advisers Association ~ 2017 - Professional Diploma in Stockbroking - - Stockbrokers Association |
| Kyle Sutton | 2017 | 2012 - Bachelor of Commerce (Corporate Finance) - Bachelor Degree (AQF 7) - The University of Adelaide ~ 2013 - Diploma of Financial Planning - Graduate Diploma (AQF 8) - Integrity Education Group ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Mark Andrew Harris | 2007 | 2000 - Bachelor of Commerce (Marketing) - - University of Adelaide ~ 2000 - Bachelor of Law - - University of Adelaide ~ 2004 - Post Graduate Diploma in Financial Planning - - FINSIA ~ 2007 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2007 - RG146 - - Stockbrokers Association |
| Mark Edward Pittman | 1980 | 1987 - Bachelor of Accounting - - South Australian Insititute of Technology ~ 2004 - ASX/SCH Responsible Executive - - Stockbrokers Association |
| Nathan Andrew Daniel | 2014 | 2011 - Bachelor of Commerce (Corp Fin and Accounting) - - University of Adelaide ~ 2013 - RG 146 - - Stockbrokers and financial Advisers Association |
| Nicolaas Seret | 2004 | 2002 - Bachelor of Commerce (International Business) - - Uni SA ~ 2005 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA |
| Robert Darius Fraser | 1989 | 1986 - Bachelor of Economics - - University of Sydney ~ 1988 - Bachelor of Laws (Honours) - - University of Sydney ~ 2011 - Business Broking Agent - - NSW Fair Trading ~ 2011 - Real Estate Agent - - NSW Fair Trading |
| Stephen Stanislaus Gibson Spencer | 2007 | 1997 - BComm (Acctg) - - Deakin University ~ 2004 - MBAA - - University of Adelaide ~ 2007 - Rg146 - - Deakin Prime ~ 2008 - ASX/SCH Responsible Executive - - Kaplan ~ 2011 - Graduate Diploma of Applied Corporate Governance - - Governance Institute of Australia |
| Susan Antoun | 2008 | 1990 - Bachelor of Economics (Accounting) - - Flinders University of South Australia ~ 2007 - Rg146 - - Deakin Prime ~ 2010 - Certified Compliance Professional (CCP) - - Australasian Compliance Institute |