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 |
|---|---|---|
| Adrian Dalzotto | 2016 | Bachelor of Financial Advising - University of Western Sydney |
| Mark Raymond | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Ltd ~ Diploma of Financial Services (Financial Planning) - CCH Learning Pty Ltd ~ Master of Business Administration (MBA) - Witwatersrand University (South Africa) |
| Peter Sheldon | 1990 | Bachelor of Commerce (Accounting, Finance and Systems) - University of New South Wales |
| Yoav Mark Lewis | 2009 | Bachelor of Commerce - University of New South Wales ~ Certificate IV in Financial Services, Accredited Finance Broker - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan |