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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| James Raymond Farrelly | 2011 | 2007 - Bachelor of Commerce (Marketing) - Bachelor Degree (AQF 7) - University of Adelaide ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - Margin Lending - Other - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Justin Andrew Chandler | 2010 | 2009 - Bachelor of Commerce (Finance) - - Flinders University of South Australia ~ 2010 - Diploma of Financial Services (Financial Planning) - - Mentor ~ 2012 - Self Managed Super Funds - Other - Kaplan Professional ~ 2013 - ASX Listed Products - Other - LPAC ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Peter Heading | 2007 | 2002 - Certificate IV Assessment & Workplace Training - - RMIT University ~ 2004 - Certificate IV in Financial Services (General Insurance) - - Australian & New Zealand Institute of Insurance & Finance ~ 2008 - Diploma Of Financial Services (Financial Planning) - - FINSIA Education (Kaplan Professional) ~ 2012 - Master Of Financial Planning - - University Of The Sunshine Coast ~ 2014 - Self Managed Super Funds - Other - Kaplan Professional |
| Steven Antonio Sansovini | 2006 | 1995 - Bachelor of Accountancy - - University of South Australia ~ 2008 - Graduate Diploma of Financial Planning - - Securities Institute / FINSIA (Kaplan Professional) ~ 2010 - Self Managed Super Funds - - Kaplan Professional |