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 |
|---|---|---|
| Andrew Craig Tucker | 2002 | 1986 - Bachelor of Business (Accounting) - - Chisholm Institute of Technology ~ 2001 - Certified Practising Accountant - - CPA ~ 2002 - Financial Plan Construction & Review (DFP8) - - Financial Planning Association ~ 2004 - Securities Industry Laws and Ethics - - Securities Institute of Australia |
| Gwendolen Jane Fellows | 1998 | 1994 - Bachelor of Arts in Management - - University of Canberra ~ 2001 - Certified Financial Planner - - Financial Planning Association ~ 2001 - Diploma of Financial Planning - - Financial Planning Association |
| Marie Lynette Suthern | 2001 | 2002 - Diploma of Financial Planning - - Deakin University/ Financial Planning Association ~ 2006 - Certified Financial Planner - - Financial Planning Association ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Patrick Chipp | 2021 | 2018 - Bachelor of Business - Bachelor Degree (AQF 7) - Monash University ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |