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 |
|---|---|---|
| Christopher Heavon-jones | 2011 | 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2012 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan Professional ~ 2022 - Accredited Listed Product Adviser Program - Other - Kaplan Professional |
| Stephen Charles Wilson | 1999 | 2003 - Estate Planning - Certificate (AQF 1-4) - Integratec (Aust) ~ 2004 - Diploma of Financial Planning (DFP1-4) - Diploma (AQF 5) - Integratec (Aust) ~ 2005 - Investment Planning 2 - Certificate (AQF 1-4) - Integratec (Aust) ~ 2020 - Self Managed Superannuation Funds - Other - Kaplan Professional |