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 |
|---|---|---|
| Annette Elizabeth Sinclair | 2012 | Cert Financial Services - Centrelink ~ Cert Methods Adult Education - Centrelink ~ Diploma Financial Services - Kaplan |
| Emily-jane Van Kampen | 2008 | Accredited Aged Care Professional - Aged Care Steps ~ Advanced Diploma Financial Planning - Kaplan Professional Education ~ Fellow Chartered Financial Practitioner (FChFP) - Association of Financial Advisers (AFA) ~ Graduate Certificate Applied Finance - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| James David Robinson | 2018 | Advanced Financial Planning - Kaplan Professional ~ Bachelor of Business - Edith Cowan University ~ Diploma Financial Planning - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan Professional |