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;
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;
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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Garth Bailo | 2024 | 2022 - Graduate Diploma - Graduate Diploma (AQF 8) - Kaplan |
| Timothy Brent Hartmann | 2007 | 2007 - Diploma of Financial Services - - Kaplan ~ 2012 - Advanced Diploma of Financial Planning - - Kaplan ~ 2012 - Self-Managed super fund - - Kaplan ~ 2018 - Graduate of Financial Planning - - Kaplan ~ 2018 - Graduate of financial planning - Graduate Certificate (AQF 8) - Kaplan |
| Tobias Stewart | 0 | 2023 - Graduate of Financial advice - Graduate Diploma (AQF 8) - Kaplan |