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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Christopher David Keating | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Finance - University of Newcastle |
| Daniel Crump | 2005 | Bachelor of Business (Finance/Legal Studies) - Charles Sturt University ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Planning - Deakin University/FPA |
| Edward Mendigorin | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Bachelor of Commerce - Macquarie University ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd |
| James Douglas Mcmaster | 2004 | Bachelor of Financial Adminsitration - University New England ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Michael Richard Bowman | 1999 | Bachelor of Business - UNE/OAC ~ CFP - FPA ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Peter Lillicrap | 1999 | Bachelor of Business - University of New England ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Planning - Deakin University/FPA |
| Rickie Darrell Latimore | 2010 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Graduate Certificate in Commerce(Financial Planning) - University of Western Sydney ~ Graduate Diploma of Finance - Charles Sturt University ~ Self Managed Superannuation Funds - Kaplan Professional |