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;
derivatives limited to:
old law securities options contracts and warrants;
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;
derivatives limited to:
old law securities options contracts and warrants;
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 |
|---|---|---|
| Clint Nice | 2014 | 2008 - Diploma of Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Education Pty Limited ~ 2013 - Bachelor of Commerce (Accounting and Financial Planning) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2016 - RG146 Tier 1 Specialist Margin Lending Course - Other - International Institute of Technology ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan Professional Education ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Nicola Butler | 0 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Peter Mark Jackson | 1994 | 1979 - Bachelor of Commerce (Major) - Bachelor Degree (AQF 7) - University of Western Australia ~ 1986 - Chartered Accountant Program (CA) - Professional Designations - Chartered Accountants Australia and New Zealand (CA ~ 1998 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Advice Association of Australia Limited (formerly FPA ~ 1999 - CFP Certification - Professional Designations - Financial Advice Association of Australia Limited (formerly FPA) |
| Robert David Lurie | 2008 | 2008 - Diploma of Financial Services - Diploma (AQF 5) - Tribeca ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| Robert Michael Avery | 1995 | 1975 - Bachelor of Commerce (Major) - Bachelor Degree (AQF 7) - University of Newcastle ~ 1985 - Graduate Diploma in Finance - Graduate Diploma (AQF 8) - WA College of Advanced Education ~ 1996 - Diploma of Financial Planning - Diploma (AQF 5) - RMIT University |