This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
general insurance products;
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;
superannuation; and
provide financial product advice to wholesale clients for the following classes of financial products:
derivatives;
foreign exchange contracts;
securities; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to retail clients in respect of the following classes of financial products:
superannuation; and
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
derivatives;
foreign exchange contracts;
interests in managed investment schemes limited to:
own managed investment scheme only; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail clients in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
general insurance products;
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;
superannuation;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
derivatives;
foreign exchange contracts; and
securities;
provide a superannuation trustee service to retail clients
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Lisa Therese Judge | 2004 | 1999 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2004 - Entry Level Competencies - - IntegraTec Training ~ 2006 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of the Sunshine Coast ~ 2008 - Master of Financial Planning - Masters Degree (AQF 9) - University of the Sunshine Coast ~ 2019 - Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |