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 |
|---|---|---|
| Harley Forgo | 2018 | 2013 - Bachelor of Accounting - - La Trobe University ~ 2018 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice FPC002B - Bridging Course - Ethics - Kaplan ~ 2020 - Economic and Legal Context for Financial Planning FPC001B - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2020 - Financial Advisers Exam - Other - FASEA |
| Jason Harvey | 2002 | 2000 - Bachelor of Business in Financial Planning - Bachelor Degree (AQF 7) - RMIT ~ 2003 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2019 - Ethics and Professionalism in Financial Advice FPC002B - Bridging Course - Ethics - Kaplan ~ 2019 - Etics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Financial Adviser Exam - Other - FASEA |