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;
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:
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;
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 |
---|---|---|
Alexander Barratt Sedgfield | 2015 | Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Securities and Managed Investments - Kaplan |
Damon Robert Shurville | 2015 | FNS50615 Diploma of Financial Planning - Kaplan ~ Introduction to Self Managed Superannuation Funds - Kaplan ~ Securities and Managed Investments - Kaplan |
Gary Browne | 2024 | Graduate Diploma of Financial Planning - Kaplan |
Jack John Wooldridge | 2016 | Diploma of Financial Planning Certificate - Kaplan ~ Foundations of Financial Planning Part A:Generic Knowledge - Kaplan ~ Securities and Managed Investments - Kaplan ~ Superannuation and Retirement Planning - Kaplan ~ Tier 1 Life Insurance -Personal Advice - Kaplan |
Lucas James Whiting Narburgh | 0 | Economics, Finance and Banking - University of Portsmouth ~ Graduate Diploma of Financial Planning - Kaplan |
Max George Clayton Summers | 2023 | Graduatet Diploma of Financial Planning - Kaplan |
Nastassya Catherine Fusipala O'pangai Muller | 0 | Graduate Diploma of Financial Planning - Kaplan |
Rebecca Louise Ellis | 2017 | Diploma of Financial Planning - Kaplan |
Sara Elizabeth Lucas | 2013 | Financial Planning - Pinnacle ~ Financial Planning - Pinnacle ~ Graduate Diploma of Financial Planning - Kaplan |
Stuart Peter Holmes | 2015 | Advanced Diploma of Financial Planning - Mentor ~ Diploma of Leadership and Management - Kaplan ~ FNS50611 DIPLOMA OF FINANCIAL PLANNING QUALIFICATION - KAPLAN PROFESSIONAL EDUCATION ~ Foundations of Directorship - AICD ~ Responsible Manager Fundamentals - Financial Education Professionals |