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 | Bachelor of Business - Edith Cowan University |
| Barrie Smith | 1998 | Diploma of Financial Services - Deakin University |
| Matthew John Rigg | 2010 | ASX Accredited Derivatives Adviser Level 1 - Kaplan Professional Education ~ Bachelor of Science in Agriculture - University of Western Australia ~ Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services - Australian Financial Markets Association ~ Graduate Diploma in Applied Finance and Investment - Finsia |
| Peter Collins | 2004 | Bachelor of Arts - Edith Cowan University ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - Finsia Education ~ FASEA exam - FASEA ~ Master of Financial Planning - Curtin University of Technology |
| Timothy Mark Geddes | 2005 | Bachelor of Commerce - Curtin University of Technology ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - Finsia Education ~ Master of Financial Planning - Curtin University of Technology |