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 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA/Deakin University ~ Life Risk Specialist - FPA ~ Margin Lending & Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Cavendish/University of Adelaide |
| Brett Vincent Call | 2008 | ALPA - Kaplan ~ Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Commerce - University of New England ~ Margin Lending and Geared Investments - Kaplan ~ SMSF - CPA |
| Karl Simon Brooke | 2018 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Commerce - University of Newcastle ~ Diploma of Financial Planning - Kaplan |