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;
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;
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 |
|---|---|---|
| Amanda Joy Dawson | 2017 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2016 - Advance Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2016 - Self Managed Super Funds - - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Anthony Brian Prior | 2005 | 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca Learning ~ 2010 - Certificate Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2016 - Advanced Diploma in Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |