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;
derivatives;
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;
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;
derivatives;
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Brendan Edward Gallagher | 2004 | 1991 - Bachelor of Commerce (Economics) - - University of Wollongong ~ 1998 - Diploma of Superannuation Management - - Association of Superannuation Funds of Australia Ltd (ASFA) ~ 2004 - Master of Business Administration - - Macquarie University ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca |
| Matthew Joseph Congiusta | 2011 | 2010 - Bachelor of Business (Financial Planning) - - University of Technology Sydney ~ 2010 - Bachelor of Computing - - University of Technology Sydney ~ 2011 - Life Insuance Module - - Kaplan ~ 2012 - ASX Accredited Listed Products Adviser (ALPA) - - Kaplan ~ 2012 - Self Managed Super Fund Module - - Kaplan |