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;
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:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
deposit and payment products limited to:
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 |
|---|---|---|
| Hayley Clare Pearse | 2017 | 2012 - Diploma in Financial Planning - - Kaplan Professional ~ 2017 - Advanced Diploma in Financial Planning - - Kaplan Professional |
| Lee Scott Emery | 2001 | 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2005 - Diploma of Financial Services – Financial Planning - - Tribeca ~ 2006 - Advanced Diploma of Financial Services Financial Planning - - Tribeca ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - Advanced Diploma of Financial Services – Financial Planning - - Tribeca ~ 2006 - CFP1 Ethics, Professionalism and Compliance - Other - FPA ~ 2011 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional |
| Peita Michelle Diamantidis | 2002 | 1994 - Bachelor of Economics (Actuarial Studies & Finance) - - Macquarie University ~ 2003 - Graduate Diploma in Financial Planning - - Securities Institue ~ 2008 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - Finsia ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional |