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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Dean Michael Thompson | 1998 | 2003 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional Education |
| Jason Alexander Mcgregor | 2010 | 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2012 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2013 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) ~ 2013 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Self Managed Superannuation Fund Adviser (Personal Advice) - Other - Mentor Education |
| Stephen Kenneth Price | 2007 | 2004 - Bachelor of Commerce (majoring in Electronic Commerce Management and Financial Planning) - - Deakin University ~ 2012 - Graduate Certificate in Business (Finance) - - Queensland University of technology |