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;
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 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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Brian Castieau | 2000 | CFP Professional - Financial Planning Association ~ DipFS(FP) - Financial Planning Association ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Financial Advice Regulation - Deakin University |
| Jemma Armstrong | 2012 | Advice in Superannuation - Tier 1 (DFS 5) - AAMC Training Group ~ Cert II Business - Australind Senior High School ~ Cert III Business - South West College (TAFE) ~ Diploma of Financial Planning FNS50610 - AAMC Training Group ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Rick Andrew Houden | 2008 | AdvDipFS(FP) - RG146 Training Australia ~ DipBusMgt - Edwards International College ~ DipFinAdv - Securities Institute Education ~ Ethics and Professionalism in Financial Advice - Kaplan ~ GradDipAppFin - Kaplan |