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 |
---|---|---|
Justin Kevin Kerkham | 2002 | 2002 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University ~ 2004 - Certified Financial Planner - - Financial Planning Association ~ 2008 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional Education ~ 2011 - Masters of Applied Finance - Masters Degree (AQF 9) - Macquarie University |
Mark Christopher Rice | 2014 | 1993 - Bachelor of Commerse - - The University of Adelaide ~ 1994 - Graduate Diploma in Applied Finance and Investment - - The Securities Institute of Australia ~ 1997 - Diploma of Financial Planning - - FPA ~ 2008 - Securities & Derivatives Industry Association Accreditation Program - - Deakin University ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |