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.
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.
(c) Provide financial product advice for the following classes of financial products to wholesale clients only:
standard margin lending facility.
(d) Deal in a financial product by:
(i) Applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products for wholesale clients only:
standard margin lending facility.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Chris Collins | 2010 | 2007 - Bachelor of Arts - - Deakin University ~ 2007 - Bachelor of Commerce - - Deakin University ~ 2009 - Diploma of Financial Services (Financial Planning) - - MLC Advice Education |
| Jeremy James Mortimer | 2005 | 1993 - Diploma of Financial Planning - - Deakin University |
| Kelvin David Anderson | 1986 | 1982 - Certificate of Business Studies - - South Melbourne Technical School ~ 1990 - Diploma of Financial Planning - - Deakin University ~ 1992 - Diploma of Banking & Finance - - Footscray Technical School ~ 2002 - Diploma of Financial Services - - National Insurance Brokers Assoc. |