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;
securities;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products 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;
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;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Jack Dawson Millar | 0 | Bachelor of Commerce Financial Planning - University of Wollongong ~ Ehtics and Professionalism in Financial Advice - Kaplan |
| Jo-anne Nelson | 2017 | Bachelor of Business - University of Techonology Sydney ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - FINSIA |
| Maria Elizabeth Dyson | 2001 | Diploma Financial Planning (DipFP) - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master Applied Finance - Kaplan Professional ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Pim John Van Gestel | 2008 | ADA1 Derivatives Adviser - Kaplan ~ Diploma of Financial Services - Kaplan Professional ~ SMSF Specialist Advice - Kaplan Porfessional |
| Richard Andrew Carey | 1999 | Bachelor of Arts in Accounting - Canberra College of Advanced Education ~ Certified Financial Planner (CFP) - Financial Planning Association ~ Chartered Accountant (CA) - Institute of Chartered Accountants Australia (ICAA) ~ Chartered Accountants Self Managed Superannuation Funds (CA SMSF) Specialisation Workshop - ICAA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |