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 | 2000 - Bachelor of Business - Bachelor Degree (AQF 7) - Griffith University ~ 2013 - Advanced Diploma in Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2014 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2016 - Certified Financial Planner - - Financial Planning Association |
| Mary Ann Almasan | 0 | 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2023 - Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Paul Eric Bugno | 2010 | 2008 - Bachelor of Business (Accounting/Finance) - - Charles Sturt University ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2012 - Taxation Planning - - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan Professional Education |
| Sarah Jean Macek | 2013 | 2012 - Diploma of Financial Planning - - Kaplan Professional ~ 2012 - Investment Products 3 - - Kaplan Professional ~ 2019 - Bachelor of Business in Finance - Bachelor Degree (AQF 7) - Massey University |