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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Anthony Leslie Iser | 1997 | 2002 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University ~ 2002 - Level 2 Derivatives Adviser - Other - ASX ~ 2004 - CFA - Masters Degree (AQF 9) - CFA Institute |
| Elizabeth Jayne Walmsley | 2011 | 2009 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2016 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Hamish Blievers | 1997 | 2004 - Financial Analysis and Valuation - - Securities Institute of Australia ~ 2004 - Financial Markets and Economics - - Securities Institute of Australia ~ 2004 - Securities Industry Law and Ethics - - Securities Institute of Australia ~ 2005 - Superannuation - - Securities and Derivatives Industry Association ~ 2015 - Diploma of Financial Planning - - Kaplan Professional Education |