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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Dean Wallis | 1987 | 1985 - Bachelor of Engineering (Chem) - - University of Melbourne ~ 1992 - Diploma of Financial Markets and Applied Finance - - FINSIA ~ 2019 - RG146 Self Managed Superannuation Funds - - Financial Education Professionals |
| Benjamin David Payne | 2010 | 2004 - Bachelor of Business (Financial Planning) - - RMIT ~ 2009 - Graduate Diploma of Applied Finance and Investment - - KAPLAN ~ 2011 - Certified Financial Planner - - FPA ~ 2017 - RG146 Self Managed Superannuation Funds - - Financial Education Professionals |
| Nathan Sadeghi | 2018 | 2016 - Bachelors of Commerce (Honours) - - Monash University ~ 2018 - Diploma of Financial Planning - - Kaplan |