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 | Certified Financial Planner - FPSB & FPA ~ Diploma Applied Science Agriculture - SACAE ~ Diploma Financial Planning - Deakin University ~ Graduate Diploma Education - SACAE ~ Graduate Diploma of Education - SACAE |
| Peter Richard Thiele | 2006 | Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Education - SACAE ~ Certified Financial Planner - FPSB & FPA ~ Master in Financial Planning - Kaplan |
| Susan Elizabeth Baxter | 2008 | Bachelor of Business (Accounting) - Victoria University ~ CTA1 Foundations of the Chartered Tax Adviser Program - The Tax Institute ~ Certified Financial Planner - FPSB & FPA ~ Chartered Accountant - The Institute of Chartered Accountants in Australia ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ CTA1 Foundations of the Chartered Tax Adviser Program - The Tax Institute |