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 |
|---|---|---|
| Jerry Rio | 2015 | 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Graduate Certificate Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2021 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Nathan Baker | 2001 | 1997 - Master of Psychology (Sport and Exercise) - - The University of Queensland (St Lucia) ~ 2001 - Diploma of Financial Planning - - Deakin University ~ 2004 - Certified Financial Planner Education Program - - Deakin University ~ 2008 - Professional Certificate in Self Managed Superannuation - - The University of Adelaide |