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;
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;
derivatives;
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 |
|---|---|---|
| Brendan Patrick Murray | 2001 | Certified Financial Planner - Deakin University ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Daniel Aitken | 2010 | Accredited Derivatives Adviser Level 1 - Kaplan Professional Education ~ Bachelor of Commerce (Sport Management and Financial Planning) - Deakin University ~ Certified Financial Planner - Financial Planners Association |
| Gary Pizzo | 1996 | Bachelor or Business - Victoria University ~ Diploma of Financial Planning - Investment Banking Institute ~ Graduate Diploma in Applied Finance and Investment - Securities institute ~ Self Managed Superannuation Funds - Kaplan ~ Tier 1 Margin Lending - Personal Advice - Kaplan |
| Stephen Wayne Barrow | 2004 | Accredited Derivatives Adviser Level 1 - Kaplan Professional Education ~ Diploma of Financial Planning (1-7) - Deakin University |