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 |
|---|---|---|
| David Robert John Mccarthy | 2014 | Bachelor of Agri Business - Curtin University ~ Ethics and Professionalism in Financial Advice - KAPLAN Higher Education ~ Graduate Diploma of Financial Planning - Kaplan Higher Education ~ Masters of Financial Planning - Kaplan Higher Education ~ Self-Managed Super Fund Program - Kaplan Higher Education |
| Pauline Lynette Flynn | 2003 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Financial Behaviour & Decision Making - Deakin University ~ Graduate Diploma of Financial Planning - Deakin University ~ MAA769 Ethics for Financial Services - Deakin University |
| Simon George Bedbrook | 1999 | Advanced Diploma of Financial Services Financial Planning - Kaplan Higher Education ~ Bachelor of Agri Science - University of WA ~ Ethics and Professionalism in Financial Advice - Kaplan Higher Education ~ Graduate Diploma of Financial Planning - Kaplan Higher Education ~ Superannuation and Retirement Advice - Kaplan Higher Education |