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:
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 |
|---|---|---|
| Joshua Dalton | 2006 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Advanced Diploma in Financial Planning - Kaplan Professional ~ Bachelor of Business - Griffith University ~ Certified Financial Planner - Financial Planning Association ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Mary Ann Almasan | 0 | Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - Kaplan |
| Paul Eric Bugno | 2010 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Business (Accounting/Finance) - Charles Sturt University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Taxation Planning - Kaplan |
| Sarah Jean Macek | 2013 | Bachelor of Business in Finance - Massey University ~ Diploma of Financial Planning - Kaplan Professional ~ Investment Products 3 - Kaplan Professional |