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 |
|---|---|---|
| Andrew John Francis Frith | 2005 | 1997 - Bachelor of Commerce - - University of Newcastle ~ 1999 - Professional Year - Graduate Diploma (AQF 8) - The Institute of Chartered Accountants in Australia ~ 2004 - SMSF Adviser Course - - The Strategist Group ~ 2005 - Graduate Certificate in Financial Planning - - Securities Institute of Australia ~ 2005 - SMSF Specialist Advisor Accreditation - - SMSF Association |
| Christian Edward O'connor | 2001 | 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2012 - Master of Commerce (Financial Planning) - Masters Degree (AQF 9) - University of Western Sydney ~ 2013 - Graduate Diploma in Economics - Graduate Diploma (AQF 8) - University of New England ~ 2014 - Certified Financial Planner Program - - Financial Planning Association of Australia (FPA) |