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;
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 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;
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 |
|---|---|---|
| Dennis Edward Barton | 1982 | 1967 - Bachelor of Science - - The University of Western Australia ~ 1973 - Fellowship - - The Institute of Actuaries Australia ~ 1973 - Senior Fellowship - - Securities Institute (now FINSIA) ~ 1975 - Bachelor of Economics - - The University of Western Australia ~ 1993 - Associate Membership - - Institute of Arbitrators and Mediators (Resolution Institute) |
| Elizabeth Anne Rae | 2015 | 2012 - Bachelor of Commerce - - The University of Western Australia ~ 2012 - Bachelor of Science - - The University of Western Australia ~ 2013 - Diploma in Financial Planning - - Kaplan ~ 2015 - Tax (Financial) Adviser - - Tax Practitioners Board ~ 2017 - Advanced Diploma in Financial Planning - - Kaplan |