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 |
|---|---|---|
| Dave Stock | 2008 | 2007 - Financial Planning Skills I - - FINSIA ~ 2007 - Financial and Investment Products - - FINSIA ~ 2014 - Deposit Products and Non-Cash payments - - Financial Education Professionals ~ 2014 - Managed Investments Accreditation - - Financial Education Professionals ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Leon Chiera | 2001 | 1996 - Bachelor of Business (property) - - University of South Australia ~ 1998 - Bachelor of Commerce - - Flinders University of South Australia ~ 2003 - Graduate Diploma in Applied Finance and Investment - - Securities Institute ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| Sam Bridgwood | 2005 | 1997 - Bachelor of Business (Banking and Finance) - - University of Adelaide ~ 1999 - Graduate Diploma in Financial Planning - - Financial Planning Association of Australia ~ 2001 - Graduate Diploma in Applied Finance and Investment - - Securities Institute ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |