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 |
|---|---|---|
| Alexander Hicks | 2011 | Adv.Dip.FS(FP) - Kaplan ~ B.Com(Hons) - University of Cape Town |
| Joanna Tapina Wihongi | 2013 | Advance Diploma of Financial Services - Kaplan ~ Diploma of Financial Services - Kaplan |
| Justine Kitto | 1991 | Certified Financial Planner - Financial Planning Association ~ Diploma Of Financial Planning - Deakin University |
| Mark Andrew Mcshane | 2018 | Bachelor of Economics - Newcastle University ~ Certificate of Qualification - Independent Centre of Financial Planning ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University |
| Michael Alexander Price | 2016 | Advanced Diploma Financial Services (Financial Planning) - Kaplan ~ Bachelor of Business (Finance/Marketing) - Charles Sturt University ~ Diploma of Financial Services - Kaplan ~ Graduate Certificate in Management - Macquarie Graduate School of Management |
| Philip Ian Windsor | 1998 | Bachelor Of Arts With Diploma Of Education - Macquarie University ~ Certificate III Course In Investment & Personal Financial Planning - Investment Training College ~ Certificate IV in Financial PLanning - Integratec ~ Diploma of Financial Planning - Financial Planning Association of Australia Limited |