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 |
|---|---|---|
| David James | 2007 | 2005 - Bachelor of International Finance - Bachelor Degree (AQF 7) - Griffith University ~ 2006 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2009 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Sean Patrick Young | 2015 | 2005 - Bachelor of Pharmacy - Bachelor Degree (AQF 7) - Griffith University ~ 2007 - Master of Pharmacy - Masters Degree (AQF 9) - Griffith University ~ 2014 - Diploma of Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Australia ~ 2016 - Advanced Diploma of Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2017 - RG146 Tier 1 Margin Lending - Diploma (AQF 5) - Kaplan Australia |