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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alison Leanne Pollock | 2018 | Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Intermediate Estate Planning accreditation - View Legal University ~ SMSF Strategies Specialist Adviser Training Assessment - SMSF Strategies |
| Angelo D'ambrosio | 2006 | Bachelor of Business - Deakin University ~ Diploma of Financial Services - Dover Financial Training ~ Margin Lending - Kaplan |
| Benjamin Robert James Anderson | 2011 | DFP5v2 Tax for Financial Advising - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Intellitrain ~ FPC008 Investment Advice - Kaplan ~ Self Managed Superannuation Funds accreditation - SMSF Strategies ~ TASACLv1 Commercial Law - Kaplan Professional |
| Michael Waterson | 1993 | Diploma of Financial Markets - Securities Institute ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Sandra Anne Burmeister | 1990 | Diploma of Financial Planning - Financial Planning Association of Australia Limited ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Kaplan |
| Sheldon Steeles | 2014 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Diploma of Financial Planning - International Institute of Technology |
| Terrell Hyman | 2017 | Bachelor Business (Financial Planning) - RMIT |