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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Brett Andrew Dillon | 2004 | 2002 - Diploma of Financial Planning - - FPA/Deakin University ~ 2009 - Certified Financial Planner - - FPA ~ 2009 - Life Risk Specialist - - FPA ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2012 - Self Managed Superannuation Funds - - Cavendish/University of Adelaide |
| Brett Vincent Call | 2008 | 2004 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of New England ~ 2008 - SMSF - Other - CPA ~ 2010 - ALPA - Other - Kaplan ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan ~ 2011 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Kaplan |
| Karl Simon Brooke | 2018 | 2013 - Bachelor of Commerce - - University of Newcastle ~ 2014 - Diploma of Financial Planning - - Kaplan ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps |