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 limited to:
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 limited to:
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 |
---|---|---|
Adam Carmody | 2005 | CFP - FPA ~ Diploma Finance & Mortgage Broking - AAMC ~ Diploma of Financial Planning - FPA ~ SMSF - Kaplan |
Benjamin Lindsay | 2014 | Diploma of Financial Planning - Investment Banking Institute ~ Self Managed Superannuation Funds - Mentor Education |
Daniel Cooper Greig Milne | 2017 | Diploma of Financial Planning - Monarch Institute |
Gavin Derepas | 2005 | Certificate IV in Financial Services (Finance/Mortgage Broking) - Intellitrain ~ Direct Equities Course - Kaplan ~ PS 146 - Tribeca ~ Self Managed Superannuation Funds - Kaplan |
Sean Oscar Santoro | 2005 | Certificate IV in Financial Services (Finance/Mortgage Broking) - Universal Wealth Management ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Diploma of Financial services - National Insurance Brokers Association ~ Self Managed Superannuation Funds - Mentor Education |
Simone Theresa Anne Evans | 2018 | Advanced Diploma of Financial Planning - Monarch ~ Bachelor Degree in Accounting - Charles Sturt University ~ Diploma of Financial Planning - Monarch Institute |