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 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;
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 |
|---|---|---|
| Christopher Joseph Craggs | 1995 | 1990 - Bachelor of Applied Science - - Curtin University ~ 1999 - Diploma in Financial Planning - - Deakin University ~ 2000 - Post Graduate Diploma in Business - - Edith Cowan University ~ 2006 - Master of Business Administration - - Edith Cowan University ~ 2012 - Master of Professional Accounting - - Univeristy of New England |
| Peter Lam | 2010 | 2010 - Bachelor of Commerce (Accounting and Financial Planning) - - Curtin University ~ 2010 - Margin Lending and Geared Investments - - KAPLAN ~ 2010 - Self Managed Superannuation Funds - - KAPLAN |
| Sherie Lee Howard | 2008 | 2008 - Diploma of Financial Planning - - FINSIA |