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; and
superannuation; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Murray Whelan | 2006 | 2004 - Bachelor of Accounting - - Flinders University ~ 2007 - Diploma of Financial Services (Financial Planning) - - Tribeca Learning ~ 2008 - ASX Responsible Executive Exam - - Kaplan Education ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Education ~ 2015 - Professional Certificate in Self-Managed Superannuation Funds - Other - Adelaide University |
| Scott Forbes | 1991 | 2002 - ASX Broker Exam - - Securities Institute Education ~ 2002 - Policy Statement 146 Knowledge Assessment - - Integratec Australia ~ 2005 - Cerfiticate in Applied Self Managed Super Fund Advice - - Australian Executor Trustees ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Education |