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 |
---|---|---|
James William Meehan | 2018 | Bachelor of Commerce (Financial Planning) - University of New England ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
Mark Anthony Ralph | 1996 | Diploma of Financial Planning - Financial Planning Association (FPA) |
Michael Rizzo | 1999 | Advanced Diploma of Financial Planning - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
Philip Barclay | 2000 | Bachelor of Economics - University of Newcastle ~ Certified Financial Planner Program - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Deakin University |
Stephen Lewis | 2001 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Certificate in Applied Self Managed Super Fund Advice - Tower Trust ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Fellow Chartered Financial Practitioner (FChFP) - Association of Financial Advisers (AFA) |
Victoria Nicole Habra | 2017 | Bachelor of Business - UTS ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduation Diploma of Financial Planning - Kaplan |