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 |
|---|---|---|
| Andrew James Garrigan | 1996 | 1999 - Diploma of Financial Planning - - Deakin University ~ 2007 - Master of Personal Financial Planning - - University of Southern Queensland ~ 2012 - Master of Applied Finance - - Kaplan |
| Christopher Mark Thoms | 2005 | 1983 - Bachelor of Economics - - Monash University ~ 1990 - Bachelor of Business - - RMIT ~ 1995 - Master of Business Administration - - Monash University ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2013 - Professional Certificate in SMSF's - - Adelaide University |
| Thomas Crigan | 2005 | 1983 - Bachelor of Business - - Chisholm Institute of Technology ~ 2005 - Graduate Diploma of Financial Planning - - Securities Institute |
| William Hume | 2018 | 2014 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - La Trobe University |