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;
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; 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 limited to:
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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Benjamin Mark Douglass | 2015 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - The University of Notre Dame Australia ~ Chartered Accountant - Chartered Accountants Australia and New Zealand ~ Diploma of Financial Planning - Kaplan |
| Bernadette Anne Attwood | 2018 | Diploma of Financial Services (Financial Planning) - ASFA ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Certificate in Financial Planning - Kaplan ~ Graduate Certificate in Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Matthew Mcinerney | 2008 | Bachelor of Business - La Trobe University ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Self Managed Superannuation Funds - Mentor Education |
| Terry James Hargreaves | 1997 | Certified Financial Planner - Financial Planning Association ~ Chartered Accountant - Financial Planning Specialist - Institute of Chartered Accountants |