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;
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;
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 Gannon | 2005 | Bachelor of Commerce (Accounting and Financial Planning) - Curtin University ~ CPA Australia Program - Certified Practising Accountants Australia ~ Diploma of Financial Services (Financial Planning) - Financial Planning Association of Australia ~ Margin Lending & Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| James Crawford Green | 2014 | Diploma in Financial Planning - Kaplan Professional Planning ~ Graduate Diploma in Financial Planning - Kaplan Professional Education ~ Margin Lending Accreditation Course - Deakin Prime ~ Masters of Financial Planning - Kaplan Professional Education |
| Robert Rocca | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Graduate Certificate in Finance - Charles Sturt University ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending Personal Advice - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan |
| Scott Tanner | 2004 | Bachelor of Commerce Economics and Finance - Curtin University of Technology ~ Cavenish & ICFS Specialist SMSF Course - Cavendish ~ Certified Financial Planner Education Program - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Securities Institute Education ~ Margin Lending & Geared Investments - Kaplan Professional Education |