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 |
|---|---|---|
| Phillip Clancy | 1998 | 1997 - Bachelor of Business(Business Mangement/Marketing) with Distinction - - Charles Sturt University ~ 2000 - Diploma of Financial Planning - - Deakin University ~ 2002 - Certified Financial Planner - - FPA ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Timothy Rudd | 1998 | 1996 - Bachelor of Business (Business Management) - - Charles Sturt University ~ 2001 - Certified Financial Planner - - FPA ~ 2001 - Diploma of Financial Planning - - Deakin University ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |