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;
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;
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;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Douglas Challen Kerr | 2014 | Bachelor of Commerce (Finance) - Flinders University ~ Bachelor of Laws and Legal Practice - Flinders University ~ Certified Financial Strategist - Association of Independently Owned Financial Professionals (AIOFP) |
| Anh Tri Victory VU | 2008 | Advance Diploma of Financial Services (Financial Planning) - Mentor Education - RG146 Training Australia ~ Bachelor of Finance - The University of Adelaide ~ Certified Financial Planner - Financial Planning Association of Australia (FPA) ~ Certified Financial Strategist - Association of Independently Owned Financial Professionals (AIOFP) ~ Diploma of Financial Services (Financial Planning) - Mentor Education - PS146 Training Australia |
| Jarrad Blake Murdoch | 2015 | Advance Diploma of Financial Services (Financial Planning) - Mentor ~ Bachelor of Urban & Regional Planning - University of South Australia ~ Self-Managed Super Fund Adviser (Personal Advice) - Mentor |
| Matthew Shane Pethick | 2012 | Bachelor of Commerce (Finance) - Flinders University ~ DFP5 - Kaplan |