This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
provide financial product advice to wholesale clients for the following classes of financial products:
derivatives; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services;
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
derivatives;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients 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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
derivatives.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Dennis John Smart | 2002 | Diploma of Financial Services - Deakin Financial Services Group ~ Ethics and Professionalism - Kaplan ~ Margin Lending - Pinnacle Group Financial Services ~ Superannuation & Retirement - Kaplan |
| James Flannery | 0 | Bachelor Of Commerce (Financial Planning) - Univsersity of Sunshine Coast ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Michael John Templeton | 1992 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Nirlep Kalra | 2011 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology (IIT) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Robert John Wynan | 1999 | Bachelor of Business (Acccounting & Computing majors) - Northern Rivers CAE ~ Diploma of Financial Planning - Deakin University ~ Diploma of Mortgage Broking - Kaplan |
| Scott Andrew Mckeown | 2005 | Advanced Diploma Financial Services (Financial Planning) - Kaplan Professional ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma Financial Services (Financial Planning) - Tribeca/Kaplan ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Steven John Culpitt | 1988 | Advanced Self Managed Super Funds Program - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Financial Planning Course - Securities Institute Education ~ Investment Planning 1 - Tribeca ~ Westpac Business Insurance - Westpac Specialist Sales Training |