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;
derivatives;
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;
standard margin lending facility; 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;
derivatives;
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew John Laird | 1998 | Accreditation program for PS146 - Securities and Derivatives Institute of Australia ~ Bachelor of Business - University of Technology Sydney ~ Certified Financial Planner professional qualification course of study - Financial Planning Association ~ FASEA - Ethics Intensive - Deakin University ~ Graduate Diploma in Financial Markets - Securities Institute of Australia |
| John Laird | 1990 | Bachelor of Commerce - University of Queensland ~ Bachelor of Commerce - University of Queensland ~ Certified Financial Planner - Financial Planning Association of Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ FASEA - Ethics Intensive - Deakin University ~ FCPA - Certified Practising Accountant Australia ~ FCPA - Certified Practising Accountant Australia |
| Oliver Conick | 1990 | Accreditation program for PS146 - Securities and Derivatives Institute of Australia ~ Bachelor of Business - University of Technology Sydney ~ Certified Financial Planner professional qualification course of study - FPA ~ FASEA - Ethics Intensive - Deakin University ~ Graduate Diploma in Financial Markets - Securities Institute of Australia |