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;
foreign exchange contracts;
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;
foreign exchange contracts;
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 |
|---|---|---|
| Ann-marie Veal | 2010 | Chartered Financial Planner - The Chartered Insurance Institute ~ Fellow of the Personal Finance Society - Chartered Insurance Institute (CII) group |
| Charlotte Louise Evrard | 2018 | Advanced Diplomat in Financial Planning - The Chartered Insurance Institute (UK) ~ Diploma in Financial Planning - The Chartered Insurance Institute (UK) ~ Diploma in Regulated Financial Planning - The Chartered Insurance Institute (UK) ~ Diploma of Financial Planning - Monarch Institute ~ Master of Financial Planning - Kaplan |
| Daniel Michael Ash-wentworth | 2018 | Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Arts - Business Management - University of Gloucestershire UK ~ DFP5V4 Tax for Financial Advising - KAPLAN ~ Diploma of Financial Planning - Kaplan ~ TASACLv2 Commercial Law - KAPLAN |
| John Paul Vailes | 2018 | CFA Uk Level 4 Certificate in Investment Management - CFS Society United Kingdom ~ CII Level 6 Advanced Diploma in Financial Planning - The Chartered Insurance Institute ~ Chartered Financial Planner - The Chartered Insurance Institute ~ Diploma of Financial Planning - Monarch Institute |
| John Wight Harrower | 2003 | Advance Diploma Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan |
| Nicholas Bond | 2011 | Advanced Diploma Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Mentor Education ~ Self Managed Superannuation Funds - Financial Education Professionals ~ Stmt of Attainment - Commercial Law & Taxation - Monarch Institute |
| Rebecca Mary Elizabeth Watson | 2015 | Diploma of Financial Planning - KAPLAN ~ Diploma of Financial Planning - Kaplan Education ~ TASACLv2 Commercial Law - KAPLAN |
| Simon David Harvey | 2015 | RG146 - Mentor Education ~ Self Managed Superannuation Funds - Financial Education Professionals |