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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Kirby Smith | 2008 | Advanced Diploma of Financial Planning - RG 146 Training Australia ~ Bachelor of Commerce with Distinction (Majoring in Accounting and Financial Planning) - Deakin University ~ Ethics & Professionalism in Financial Advice - Kaplan Professional |
| Nathan Ritchie | 2010 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor Commerce Finance & Financial Planning - Deakin University ~ Certified Financial Planner - Financial Planning Association of Australia ~ SMSF Specialist Advisor - Self Managed Super Fund Association |
| Paul David Chalmers | 2003 | Bachelor Business Financial Planning - RMIT ~ Certified Financial Planner - Financial Planning Association ~ Ethics & Proessionalism in Financial Advice - Kaplan ~ Listed Product Accreditation - LPAC ~ Self-Managed Super Fund Specialist Advisor - SMSF Professionals Association |