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;
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;
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 |
|---|---|---|
| Caleb John Dozzi | 2007 | 2006 - Diploma of Financial Planning - - Tribeca ~ 2008 - Bachelor of Commerce in Financial Planning, majoring in Accounting - - Griffith University ~ 2010 - Certified Financial Planner - - FPA ~ 2011 - DPML Margin Lending - - Pinnacle ~ 2013 - Master of Business Administration with a personalisation in Personal Financial Planning - - University of Southern Queensland |
| Shaun Fairon | 0 | 2012 - Bachelor of Business (Major in Finance) - Bachelor Degree (AQF 7) - QUT ~ 2017 - Margin Lending Accreditation Program - Other - Deakin Prime ~ 2017 - Securities & Managed Investments Accreditation Program - Other - Deakin Prime ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |