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;
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;
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 |
|---|---|---|
| Daniella Roovers | 1996 | Advanced Diploma of Financial Planning - RG146 Training Australia Pty Ltd ~ Diploma of Financial Services - National Insurance Brokers Assocation ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Mentor Education |
| Paris Bisley | 2010 | Bachelor of Business - Victoria University ~ DPML Margin Lending - Pinnacle ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Self Managed Superannuation Funds - University of Adelaide |
| Troy Raymond Gudgeon | 2011 | Advanced Diploma Financial Planning FNS60415 - Mentor Education ~ Diploma Financial Services (Financial Planning) - Mentor Education ~ Margin Lending & Geared Investments - Kaplan Professional |
| William Hurst | 2011 | Accredited Listed Product Adviser Program - KAPLAN Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy Pty Ltd ~ Certificate of Completion DPML Margin Lending - Pinnacle Financial Services Academy ~ Master of Financial Planning - KAPLAN Professional ~ Professional Certificate in Self-Managed Superannuation Funds - The University of Adelaide |