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 including:
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; and
life risk 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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation;
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 limited to:
derivatives restricted to those arrangements that are, at the time of providing a financial service, subject to the operating rules of a licensed market complying with Regulation 7.2.07(e)(i) or Regulation 7.2.07(e)(ii);
foreign exchange contracts; and
interests in managed investment schemes limited to:
own managed investment scheme only;
MDA services; 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 including:
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; and
life risk 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
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adrian Jnanadev Nathaniel | 2013 | 2013 - Diploma of Financial Planning - - Investment Banking Institute (IBI) ~ 2014 - Self Managed Superannuation Funds - Other - Mentor Education ~ 2016 - Tier 1 Margin Lending - Other - Kaplan Professional |
| Anthony James Malcolm Wieland | 1999 | 2002 - Accredited Derivatives Adviser - - ASX ~ 2002 - PS146 Compliance Program - - Securities Institute |
| Tiana O'dea | 2024 | 2022 - Graduate Diploma of financial planning - Graduate Diploma (AQF 8) - Kaplan institute |