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 |
|---|---|---|
| Jeremy Cook | 2013 | Advanced Diploma of Financial Services - Kaplan Professional ~ Diploma of Financial Services - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Luke James Buttersfield | 2001 | Advanced Diploma of Financial Planning - Three Sixty ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Fellow Chartered Financial Practitioner - Association of Financial Advisers ~ Margin Lending & Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Matthew Christopher Yates | 2011 | Bachelor of Commerce (Financial Planning and Economics) - Curtin University of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Phil John Alvaro | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Ltd ~ Bachelor of Business - Edith Cowan University ~ Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |