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 |
|---|---|---|
| Judy Ann Schmidt | 2002 | Bachelor of Business - Victoria College ~ Diploma of Finance and Mortgage Broking Management - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - University of the Sunshine Coast (USC) |
| Kreston Dane Leggett | 2018 | Diploma of Financial Planning - Kaplan |
| Mathew James Ashton | 2004 | Bachelor of Business (Financial Planning) - RMIT University ~ Certified Financial Planner - Financial Planning Association ~ Charted Financial Analyst - CFA Institute ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Tribeca |
| Peter Wayne Leggett | 1983 | Bachelor of Business - Royal Melbourne Institute of Technology ~ Diploma of Financial Services (Financial Planning) - Financial Planning Association of Australia (FPA) ~ Margin Lending & Geared Investments - Kaplan Professional ~ Master of Financial Planning - University of Sunshine Coast |
| Simon John Lewis | 2007 | Bachelor of Commerce - University of Melbourne ~ Graduate Diploma in Financial Planning - Securities Institute ~ Graduate Diploma of Applied Finance and Investment - Securities Institute ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |