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;
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
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;
deposit products other than basic deposit products;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam John Passwell | 1999 | Advanced Diploma in Financial Planning - Deakin University ~ Bachelor of Economics, Double major in Economics and Business Law - Macquarie University ~ Estate Planning Specialist Adviser - University Technology Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan ~ SMSF Specialist Adviser - SMSF Strategies & SPAA |
| Andrew Vance Clegg | 2005 | Bachelor of Commerce - University of Wollongong ~ Behavioural Investing Course - Behavioural Finance Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - FINSIA ~ Specialist SMSF Course - International Centre for Financial Services University of Adelaide |
| Cheyne Toby Whitford | 2009 | Bachelor of Commerce (Accounting) - University of Wollongong ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Financial Planning (Distinction) - University of Western Sydney |
| Jeanette O'connor | 2014 | Advanced Diploma of Financial Services Financial Planning - Kaplan Professional Education ~ Diploma of Financial Services - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan |