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 |
|---|---|---|
| Andrew Neil Prince | 1992 | 1997 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2003 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2011 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - AAMC Training Group ~ 2015 - ALPA - - Kaplan ~ 2015 - SMSF - - Mentor |
| Margaret Anne Barnesby-johnson | 1984 | 2005 - Master of Applied Finance - - Maquarie University ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2015 - Life Insurance Adviser (Personal Advice) - - Mentor ~ 2015 - SMSF Adviser (Personal Advice) - - Mentor |
| Stuart Glenn Fulton | 1987 | 1997 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 1998 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2015 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education |