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 |
|---|---|---|
| Benjamin Walker | 2006 | 2006 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2008 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Kaplan Professional ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd |
| David Boyd Wrightson | 2007 | 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Finsia |
| Truong Nguyen Duc Duy | 2015 | 2009 - Bachelor of Commerce (Accounting & Finance) - - Curtin University ~ 2013 - Master of Financial Planning - Masters Degree (AQF 9) - Curtin University |