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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Joel Lewis | 2014 | 2003 - Bachelor of Commerce (Financial Planning & Management) - Bachelor Degree (AQF 7) - Deakin University ~ 2018 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - ACS Accredited Aged Care Professional - Other - Aged Care Steps ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Nicholas Peter Little | 2009 | 2005 - Bachelor of Business - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2009 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan ~ 2010 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2010 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |