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 |
|---|---|---|
| Bernard John Ryan | 1997 | 2000 - Diploma of Financial Planning - - FPA ~ 2004 - Self Managed Super Fund Course - - Tribeca ~ 2009 - ASX Securities - - Kaplan ~ 2010 - Margin Lending - - Kaplan ~ 2014 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - AAMC |
| Leesa Murphy Swain | 2021 | 2013 - Diploma of Finance and Mortgage Brokering Management - Diploma (AQF 5) - The National Finance Institute ~ 2018 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - SMSF Regulations and Taxation - Other - Kaplan Professional ~ 2023 - SMSF Specialist - Professional Designations - SMSF Association |
| Robert Sedley Koschel | 1998 | 2001 - Foundation Diploma of Financial Planning - - FPA ~ 2004 - Self Managed Super Fund Course - - Tribeca ~ 2010 - Margin Lending - - Kaplan ~ 2013 - ASX Securities - - Kaplan ~ 2014 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - AAMC |