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;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Daniel Laurence Cundy | 2013 | 2008 - Bachelor of Economics - - University of Adelaide ~ 2008 - Bachelor of Finance - - University of Adelaide ~ 2013 - Diploma of Financial Services - - Kaplan Professional |
| Glenn Sterrey | 2000 | 2001 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia |
| Nicky Dwyer | 2011 | 1996 - Advanced Diploma of Accounting - - TAFE SA ~ 2011 - Advanced Diploma of Financial Services (FP) - - Kaplan ~ 2015 - Graduate Diploma of Financial Planning - - Kaplan ~ 2019 - Certified Financial Planner - CFP Certification Program - - Financial Planning Association of Australia |
| Shari Neagle | 2016 | 1995 - Bachelor Of Business (Accountancy) - - Queensland University Of Technology ~ 2015 - Diploma of Financial Planning - - Pinnacle |