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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| David Henry Phippard | 1999 | 2006 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan ~ 2018 - Tier 1 Margin Lending - Personal Advice - Other - Kaplan |
| Michelle Louise Hanger | 2003 | 2002 - FPA: DFP 1-4 - - Financial Planning Assocation of Australia ~ 2018 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Accredited Listed Product Adviser Program (ALPA) - - Kaplan Professional |
| Toni Deanne Sparkes | 1998 | 1997 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Monash University ~ 1999 - Graduate Diploma of Applied Finance and Investments (Investment Analysis) - Graduate Diploma (AQF 8) - Securities Institute ~ 2000 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2001 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2005 - Self Managed Superannuation Funds - Other - Tribeca (Kaplan Professional) |