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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
---|---|---|
Anthony Smith | 2018 | Bachelor of Business (major in Finance) - Queensland University of Technology |
Jessica Ann Read | 2011 | Bachelor of Business (Banking & Finance and Accounting) - Queensland University of Technology ~ Diploma of Financial Services (Financial Planning) - RE146 Training Australia ~ Master of Financial Planning - Kaplan Professional |
Kerrie Jayne Bampton | 2004 | ASX Accredited Listed Products Adviser - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Integratec ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds Adviser Course - Tribeca |
Richard John Leal | 2008 | Bachelor of Commerce in Financial Planning and Investments (Accounting) - Griffith University ~ Margin Lending - Monarch Institute ~ Self Managed Superannuation Funds - Monarch Institute |