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;
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 excluding investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
superannuation; and
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;
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 excluding investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation; and
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
schemes which only hold the following types of property:
financial assets;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Duncan Robert Essery | 2003 | Bachelor of Business - Swinburne University of Technology ~ Certified Financial Planner - Financial Planning Association ~ Certified Practising Accountant - CPA Australia ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Ellyn Margaret Rimmer | 2016 | Bachelor of Applied Science - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Planning - Deakin University ~ Graduate Australian Institute of Company Directors - Australian Institute of Company Directors ~ Graduate Diploma of Psychology - Deakin University |
| Robert Stanley Jaskiewicz | 2000 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Royal Melbourne Institute of Technology |
| Stephanie King | 2011 | Advanced Diploma Financial Planning - Kaplan ~ Bachelor of Business (Business Administration) - RMIT ~ Diploma of Financial Services - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ TASA and the TPB Code of Professional Conduct - Kaplan |