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 |
|---|---|---|
| Alison Joy Smith | 2007 | Bachelor of Commerce in Accounting - University of Canberra ~ Certified Financial Planner - Financial Planning Association ~ Chartered Accountant - Institute of Chartered Accountants ~ Diploma in Financial Services (Financial Planning) - Tribeca ~ Graduate Diploma in Company Secretarial Practice - Chartered Secretaries Australia |
| Grace Edith Murphy | 2018 | Bachelor of Commerce (Accounting, Applied Finance, Professional Accounting) - University of New England ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Services - University of New England |
| Sean Thomas Hammond | 2006 | Bachelor of Commerce - ANU ~ Certified Financial Planner - Financial Planning Association ~ Chartered Accountant - Institute of Chartered Accountants ~ Chartered Tax Adviser - Tax Institute of Australia ~ Graduate of AICD - Australian Institute of Company Directors |
| Timothy Peter Webb | 2010 | Adv Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Commerce (Accounting) - ANU ~ Bachelor of Science (Environmental Management) - ANU ~ Certified Financial Planner - Financial Planning Association |