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 |
|---|---|---|
| Bradley Mark Butler | 1993 | 1982 - Diploma Applied Science Agriculture - - SACAE ~ 1983 - Graduate Diploma Education - - SACAE ~ 1983 - Graduate Diploma of Education - - SACAE ~ 1996 - Diploma Financial Planning - - Deakin University ~ 1999 - Certified Financial Planner - - FPSB & FPA |
| Peter Richard Thiele | 2006 | 1990 - Bachelor of Education - - SACAE ~ 2007 - Advanced Diploma of Financial Services - - Kaplan ~ 2009 - Certified Financial Planner - - FPSB & FPA ~ 2017 - Master in Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Susan Elizabeth Baxter | 2008 | 1996 - Bachelor of Business (Accounting) - - Victoria University ~ 1998 - Chartered Accountant - - The Institute of Chartered Accountants in Australia ~ 2007 - Diploma of Financial Services (Financial Planning) - - Mentor Education ~ 2013 - Certified Financial Planner - - FPSB & FPA ~ 2014 - CTA1 Foundations of the Chartered Tax Adviser Program - - The Tax Institute ~ 2014 - • CTA1 Foundations of the Chartered Tax Adviser Program - - The Tax Institute |