This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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;
provide financial product advice to wholesale clients only for the following classes of financial products:
derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences of fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences of fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
interests in managed investment schemes excluding investor directed portfolio services; and
applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients 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; and
applying for, acquiring, varying or disposing of a financial product to wholesale clients only on behalf of another person in respect of the following classes of products:
derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences of fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
provide the following custodial or depository services to wholesale clients only:
operate custodial or depository services other than investor directed portfolio services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Christopher David Mcknight | 2005 | 1999 - Bachelor of International Finance - - Griffith University ~ 2004 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2009 - SMSF Association SMSF Specialist Advisor - - SPAA ~ 2013 - Grad Cert Applied Finance - - KAPLAN |
| Michael Jeremy Purvis | 2005 | 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Commissioner for Declarations - - Queensland Government |
| Shane Matthew Bensted | 2014 | 2000 - Bachelor of Business (Marketing) - - Queensland University of Technology (QUT) ~ 2014 - Dipolma of Financial Planning - - Intellitrain ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan |