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; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Denise Anne Locantro | 1993 | Bachelor of Economics - University of Western Australia ~ Managed Investments - Knowledge and Skills - KAPLAN ~ Margin Lending - Stockbrokers Association of Australia ~ PS146 Compliance Program (Securities) - The Securities Institute of Australia ~ Superannuation Advice and Regulation/Financial Planning and Wealth Creation - The Securities Institute of Australia |
| Simon James Sydney Chesson | 2003 | Certified Financial Planner - Financial Planning Association of Australia ~ Certified Practising Accountant with specialisation in Financial Planning - CPA Australia ~ Diploma of Finance and Mortgage Broking Management - KAPLAN ~ Margin Lending Accreditation Program - Financial Essentials ~ SMSF Specialist Adviser Accreditation Course - Self Manager Superfund Professionals Association of Australia |