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;
general insurance 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; 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;
general insurance 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Craig Thomas Shanley | 2002 | Diplome of Financial Planning 1,2,3,4 & 5 - Integratec ~ Risk Management - Integratec |
| Peter Richard Long | 2003 | Diploma Financial Planning (DFP 1 & 5) - Securities Institute ~ Risk Management (DFP 2) - Integratec TrainingPty Ltd ~ School of Accounting & Law (DFP 3) - RMIT |
| Ricky Arthur Davis | 1983 | Diploma of Financial Service (Financial Planning) - FPA ~ Diploma of Financial Service (Financial Planning) - FPA |
| Scott James Abraham | 2008 | Diploma of Financial Services (Financial Planning) - Kaplan |
| Tim Dale | 1998 | Diploma of Financial Services (Financial Planning) - Integratec (Kaplan) ~ Diploma of Financial Services (Financial Planning) - Integratec (Kaplan) |