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:
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 |
|---|---|---|
| Christopher John Graham | 2021 | Bachelor of Business (Economics and Finance) - RMIT University ~ Bachelor of Business (Financial Planning) - RMIT University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Helen Yau | 2015 | Bachelor of Commerce - Deakin University ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Accounting - Institute of Chartered Accountants of Australia |
| Samantha Patricia Butcher | 2001 | Bachelor of Commerce (Financial Planning) - Deakin University ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |