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 Michael Clarke | 2006 | 2000 - Batchelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| Christopher Dennis Young | 2005 | 2002 - Bachelor of Commerce - - Murdoch University ~ 2007 - Graduate Diploma of Applied Finance and Investment - - Financial Services Institute of Australasia (FINSIA) ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2010 - Self Managed Superannuation Funds - - Kaplan ~ 2011 - Margin Lending and Geared Investments - - Kaplan |
| Samuel Lloyd Graham | 2018 | 2014 - Bachelor of Commerce (HR Mgmt) - Bachelor Degree (AQF 7) - Curtin University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan |