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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adrian Sloan | 1994 | 1990 - Bachelor of Business - - Edith Cowan University |
| Barrie Smith | 1998 | 2003 - Diploma of Financial Services - - Deakin University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Matthew John Rigg | 2010 | 2004 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Finsia ~ 2005 - Diploma of Financial Services - - Australian Financial Markets Association ~ 2010 - ASX Accredited Derivatives Adviser Level 1 - - Kaplan Professional Education ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Ltd |
| Peter Collins | 2004 | 2000 - Bachelor of Arts - - Edith Cowan University ~ 2007 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - Finsia Education ~ 2007 - Master of Financial Planning - - Curtin University of Technology |
| Timothy Mark Geddes | 2005 | 2003 - Bachelor of Commerce - - Curtin University of Technology ~ 2005 - Master of Financial Planning - Masters Degree (AQF 9) - Curtin University of Technology ~ 2007 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - Finsia Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Ltd |