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;
general insurance 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;
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;
general insurance 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
provide a claims handling and settling service limited to:
the person assesses whether an insurer has a liability under an insurance product, or provides assistance in relation to such an assessment;
the person assists another person to make a claim under an insurance product;
the person makes a recommendation, or states an opinion, in the following circumstances:
the recommendation, or statement of opinion, is made in response to an inquiry by or on behalf of another person about an existing or a potential claim by the other person under an insurance product; and
the recommendation, or statement of opinion, could reasonably be expected to influence a decision whether to continue with the existing claim or to make the potential claim; and
the person represents a person insured under an insurance product in pursuing a claim under the product;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Darren Richard Coles Farley | 2009 | Advanced Diploma of Financial planning - kaplan professional ~ Bachelor of Commerce - University of Adelaide ~ Certificate IV finance & Mortgage broking - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ smsf - kaplan |
| Harpinder Singh Chipra | 2017 | Bachelor of Commerce - University of Delhi ~ Diploma of Financial Planning - Kaplan ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - University of South Australia ~ adv dip FP & SMSF - Kaplan |
| Ross Anthony Read | 1999 | ASX Derivatives - Kaplan ~ Bachelor of Commerce - University of Tasmania ~ Certified Financial Planner - FPA ~ Certified Practicing Accountant - CPA ~ Self Managed superfund - Kaplan ~ accredited listed product - kaplan |