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 |
|---|---|---|
| Huw Smith | 2018 | Bachelor of Applied Finance - Macquarie University ~ Bachelor of Economics - Macquarie University ~ DFP 1 Financial Planning Fundamentals - Kaplan ~ DFP 2 Insurance and risk protection - Kaplan |
| Luke Benjamin Rathborne | 2004 | Bachelor of Commerce (Accounting and Finance) - UNSW ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Graduate Diploma of Applied Finance - FINSIA ~ Professional Year - Institute of Chartered Accountants of Aust ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Oliver Jeffery Thornhill | 2016 | Dipolma of Financial Planning - Kaplan Professional |