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 | 1998 - Graduate Diploma in Financial Markets - - Securities Institute of Australia ~ 2001 - Accreditation program for PS146 - - Securities and Derivatives Institute of Australia ~ 2001 - Bachelor of Business - - University of Technology Sydney ~ 2004 - Certified Financial Planner professional qualification course of study - - Financial Planning Association ~ 2021 - FASEA - Ethics Intensive - Bridging Course - Ethics - Deakin University |
| John Laird | 1990 | 1970 - Bachelor of Commerce - - University of Queensland ~ 1998 - FCPA - - Certified Practising Accountant Australia ~ 2000 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2021 - FASEA - Ethics Intensive - Bridging Course - Ethics - Deakin University ~ 2024 - Tax for Financial Advising - Other - Kaplan Professional Education |
| Oliver Conick | 1990 | 2000 - Bachelor of Business - - University of Technology Sydney ~ 2001 - Accreditation program for PS146 - - Securities and Derivatives Institute of Australia ~ 2001 - Graduate Diploma in Financial Markets - - Securities Institute of Australia ~ 2003 - Certified Financial Planner professional qualification course of study - - FPA ~ 2021 - FASEA - Ethics Intensive - Bridging Course - Ethics - Deakin University |