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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 |
|---|---|---|
| Anthony Malcolm Cordi | 2006 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - PS146 Training Australia ~ Estate Planning - RG146 Training Australia ~ FASEA - FASEA ~ Taxation Planning (ADFS1) - RG146 Training Australia |
| John Claessen | 1995 | FASEA Exam - FASEA ~ Graduate Diploma in Applied Finance and Investment - Securities institute Education ~ Graduate Diploma in Business - Curtin University of Technology ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Kerry Louise Franklin | 2000 | Diploma of Financial Services ( Finance / Mortgage Broking Management) - VRQA ~ FASEA Exam - FASEA ~ Margin Lending and Geared Investments - Kaplan ~ Risk Management and Insurance Planning - FPA ~ Superannuation and Retirement Planning - Integratec |
| Michael James Wegener | 2012 | Bachelor Of Business - University of South Australia ~ Diploma in Financial Planning - Kaplan ~ Self-Managed Supoerannuation Course - Kaplan |
| Michael O'hara | 1982 | ALPA - Kaplan ~ Certified Financial Planner - FPA ~ Diploma Financial Planning (DFP1-DFP8) - FPA ~ FASEA Exam - FASEA ~ Margin Lending and Geared Investments accreditation - Kaplan |
| Norma Louise Falconer | 2016 | Accredited Listed Product Adviser Program - Kaplan ~ Certified Financial Planner - Financial Planning Institute of South Africa ~ Diploma of Financial Planning - Monarch Institute ~ Ethics for Financial Services (Intensive) - Deakin University ~ FASEA Exam - FASEA |
| Simon Jeffrey Tomkinson | 1996 | CFP - FPA ~ DFP 1-8 - FPA ~ FASEA Exam - FASEA ~ Margin Lending and Geared Investments - Kaplan |