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 |
|---|---|---|
| Benjamin Parker | 2015 | Diploma of Financial Planning - Kaplan Professional |
| Darren Andrew Brind | 2002 | Accredited Listed Product Adviser Program - Kaplan Education Pty Limited ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide ~ Diploma of Financial Planning - Financial Planning Association of Australia Limited ~ Diploma of Financial Services - Commonwealth Bank ~ Margin Lending and Geared Investments - Kaplan Education Pty Limited |
| Joseph Christopher Pricsina | 1999 | Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan Professional ~ SMSF - Financial Education Professionals |
| Mark Alexander Pearson | 2012 | Diploma of Financial Planning - Mentor Education ~ Graduate Diploma of Financial Planning - Kaplan ~ SMSF Accreditation - Kaplan Professional |
| Neil Mackay | 1998 | ASX Brokers Exam - Securities Institute ~ Advanced Dipolma in Accounting - NSW Tafe ~ Anti-Money Laundering/Counter Terrorism Financing E-Learning - MFAA ~ Certificate in Applied SMSF Advice - Tower Trust ~ Diploma of Financial Planning - Deakin University |
| Sean Dennis Mcdonald | 2008 | Advanced Diploma of Financial Planning - Pinnacle Financial Services ~ Diploma of Financial Planning - Pinnacle Financial Services |
| Simon Nicholas DE Carro | 2004 | Advance Diploma of Financial Services - AMP Financial Planning ~ Bachelor of Business - RMIT ~ Diploma of Financial Serviuces - AMP |