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 |
|---|---|---|
| Joanne Elizabeth Stephens | 2011 | 2011 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2012 - Margin Lending - - Kaplan Professional Education ~ 2013 - Graduate Certificate in Commerce (Financial Planning) - - University of Western Sydney ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2016 - Master of Commerce (Financial Planning) - - Western Sydney University |
| Stuart Cole | 1997 | 1989 - Bachelor of Business - - Mitchell College of Advanced Education ~ 1991 - Chartered Accountant - - Institute of Chartered Accountants ~ 2000 - Certified Financial Planner - - Financial Planning Association ~ 2008 - Self Managed Super Funds - - Kaplan Professional Education |