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;
interests in managed investment schemes limited to:
MDA 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 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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Jane Mitchell | 2010 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan (formerly FINSIA) ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional |
| Matthew Kevin Fenning | 2013 | Accredited Listed Product Adviser - Kaplan ~ Advanced Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Graduate Diploma of Applied Finance - Kaplan ~ SMSF - Kaplan |
| Sakshi Bagaria | 2018 | Accredited Listed Product Adviser - Kaplan ~ Bachelor of Science (Class Honours in Economics and Finance) - University of London ~ Diploma of Financial Planning(FNS50615) - Monarch Institute ~ FASEA Exam - FASEA |
| Samuel Anthony Fenning | 2014 | Accredited Listed Product Adviser - Kaplan ~ Bachelor of Commerce (Financial Planning) - University of Wollongong ~ Certified Financial Planner - FPA ~ FASEA Exam - FASEA |