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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Douglas Paul Tarrant | 1994 | 1998 - Diploma of Financial Services (Financial Planning) - - Financial Planning Association ~ 1999 - Certified Financial Planner - - Financial Planning Association ~ 2005 - SMSF Specialist Adviser - - Self Managed Super Fund Association ~ 2013 - Accredited Estate Planning Specialist - - Financial Planning Association ~ 2014 - Certificate IV in Financial and Mortgage Broking - - Kaplan Professional |
| Joanne Douglas | 2005 | 2005 - Diploma of Financial Services (Financial Planning) - - Integratec ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2007 - Certified Financial Planner - - Financial Planning Association ~ 2022 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan |