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;
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; and
provide a claims handling and settling service limited to:
the person makes a recommendation, or states an opinion, in the following circumstances:
the recommendation, or statement of opinion, is made in response to an inquiry by or on behalf of another person about an existing or a potential claim by the other person under an insurance product; and
the recommendation, or statement of opinion, could reasonably be expected to influence a decision whether to continue with the existing claim or to make the potential claim;
the person assists another person to make a claim under an insurance product;
the person represents a person insured under an insurance product in pursuing a claim under the product; and
the person assesses whether an insurer has a liability under an insurance product, or provides assistance in relation to such an assessment;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Paul Richard Conte | 2016 | 2009 - Bachelor of Commerce (Accounting Major) - - La Trobe University ~ 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2019 - Tier 1 Compliance Solution - Margin Lending - - Kaplan Professional |
| William Johns | 2006 | 2006 - Bachelor of Business ( Applied Finance) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2010 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2012 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan ~ 2014 - Master in Disability Studies - Masters Degree (AQF 9) - Flinders University |