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;
derivatives limited to:
old law securities options contracts and warrants;
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;
derivatives limited to:
old law securities options contracts and warrants;
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 |
|---|---|---|
| Anthony William Windress | 2018 | 2002 - Bachelor of Commerce (Accounting) - - University of Western Sydney ~ 2004 - Master of Commerce (Financial Planning) - - University of Western Sydney ~ 2018 - Diploma of Financial Planning - - KAPLAN |
| Christian Zimmer | 2013 | 2009 - Bachelor of Business (Financial Risk Management/International Trade) - - Victoria University ~ 2012 - Graduate Diploma of Professional Accounting - - Victoria University |
| Matthew David Starling | 2018 | 2016 - Bachelor of Commerce - - Monash University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan |
| Michael Murphy | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2008 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - National Finance Institute ~ 2013 - Diploma of Finance & Mortgage Broking Management - - Intellitrain |