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 |
|---|---|---|
| Helen Baker | 2009 | Advanced Diploma Financial Planning FNS60410 - Kaplan Australia ~ Bachelor of Commerce (Accounting & Finance) - Griffith University ~ Diploma Financial Services (Financial Planning) FNS50804 - Mentor Education Group ~ Master of Financial Planning - Kaplan Australia ~ Master of Management (Innovation & Change) - Griffith University |
| Robert Chester | 2015 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - Kaplan Australia ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia ~ RG146 928S Margin Lending (928SML) - Kaplan Australia |
| Robert John Berens | 2001 | Advanced Diploma Financial Services (Financial Planning) FNB60402 - Kaplan Australia ~ Foundation Diploma Financial Planning (DFP1-4) - Financial Planning Association (FPA) ~ Master of Financial Planning - University of Sunshine Coast ~ RG146 Margin Lending - MLC ThreeSixty |
| Simon Gabbie | 2002 | Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Provide advice in Margin Lending - MLC ThreeSixty |