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 |
|---|---|---|
| David Gerard Dominic Pereira | 2010 | 2008 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Murdoch University ~ 2010 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2014 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional ~ 2017 - Self Managed Super Funds - - Monarch Institute |
| Ian Graeme Armstrong | 2008 | 2003 - Bachelor of Commerce (Sales and Marketing) - Bachelor Degree (AQF 7) - Curtin University ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2009 - Self Managed Superannuation Funds - - Kaplan ~ 2010 - Margin Lending and Geared Investments - - Kaplan |