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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| Adam Jonathan Hansen | 2003 | 2004 - Adv Dip of Financial Planning - - Tribeca ~ 2004 - Dip of Financial Planning - - Tribeca ~ 2005 - Self Managed Super Funds - - Tribeca |
| Christopher Paul Arnold | 1993 | 2004 - Adv Dip of Fin Planning - - Tribeca ~ 2004 - Dip of Fin Planning - - Tribeca ~ 2005 - Self Managed Super Funds - - Tribeca |
| Daniel Christie Anderson | 2017 | 2015 - Bachelor of Business (Management) - Bachelor Degree (AQF 7) - University of Queensland ~ 2016 - Self Managed Super Funds - Other - Integrity Education Group ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group ~ 2021 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Gavin Eric Conyers | 2017 | 1998 - Bachelor of Business (Accounting) - - Monash University ~ 2004 - CPA Program - - CPA Australia ~ 2015 - Accountant's SMSF Package - - Kaplan Professional Education ~ 2015 - Foundations of Financial Planning Part B: Financial Planning - - Kaplan Professional Education ~ 2015 - TASA and the TPB Code of Professional Conduct - - Kaplan Professional Education |
| Mark Francis Small | 2017 | 1988 - Bachelor of Commerce - - University of Auckland ~ 1994 - Graduate Diploma in Applied Finance and Investment - - Securities Institute of Australia ~ 2015 - TASA and the TPB Code of Professional Conduct - - Kaplan Professional ~ 2016 - Tier 1 - Generic Knowledge - - Kaplan Professional ~ 2016 - Tier 1 Life Insurance - General Advice - - Kaplan Professional |