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 |
|---|---|---|
| Kim Leann Klein | 2003 | Accredited Derivatives Adviser Level 1 - Kaplan ~ Advance Diploma of Financial Planning - FPA - Deakin University ~ Cert IV Finance/Mortgage Broking - Kaplan ~ Certified Financial Planner - Financial Planning Association ~ SMSF Specialist - SMSF Training |
| Nicholas James Girle | 2000 | Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ Master of Financial Planning - University of Sunshine Coast ~ RG146 Provide Advice in Margin Lending - MLC ThreeSixty |
| Richard Dean Brannelly | 2001 | Bachelor of Commerce - Queensland University Technology ~ Certified Practicing Accountant (CPA) - CPA Australia ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Margin Lending - MLC ThreeSixty |