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 |
|---|---|---|
| Brett Malcolm Waters | 2003 | 2004 - Certified Financial Planner - - Deakin University ~ 2004 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Diploma of Finance and Mortgage Broking Management - - Kaplan Professional Education ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional Education |
| Daniel Booth | 2015 | 2009 - Bachelor of Business (Banking and Finance) - - Monash University ~ 2012 - Life Insurance - - RG146 Training Australia ~ 2015 - Certified Financial Planner - - Deakin University ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2020 - Self Managed Super - Other - Mentor Education |
| Stuart Andrew Turner | 1995 | 1992 - Bachelor of Business (Accounting) - - Monash University ~ 1995 - CPA Program - - CPA Australia ~ 2000 - Certified Financial Planner - - Financial Planning Association of Australia |