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;
derivatives;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
standard margin lending facility; and
deal in a financial product by:
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;
derivatives;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
standard margin lending facility;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Jonathan Thomas | 2013 | Accredited Derivatives Adviser Level 1 - Kaplan ~ Accredited Derivatives Adviser Level 2 - Kaplan ~ Bachelor of Science/Bachelor of Commerce - University of Sydney ~ RG 146 - Kaplan |
| Mitchell Knowles | 2016 | ADA 1 - KAPLAN ~ ADA 2 - KAPLAN ~ Bachelor of Commerce - Griffith University ~ RG146 - KAPLAN |
| Stuart Mcclure | 2012 | Accredited Derivatives Adviser Level 1 - Kaplan ~ Accredited Derivatives Adviser Level 2 - Kaplan ~ Bachelor of Business - Griffith University ~ RG 146 - Kaplan |
| William Chien | 2006 | ADA1 - Kaplan ~ ADA2 - Kaplan ~ PS146 - AFMA |