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;
derivatives;
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;
derivatives;
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 |
|---|---|---|
| Lara Tarrant | 2018 | 2016 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2016 - Bachelor of Laws (LLB) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2017 - Graduate Diploma of Legal Practice - Graduate Diploma (AQF 8) - College of Law ~ 2019 - Chartered Tax Advisor - Professional Designations - Tax Institute ~ 2021 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Nicholas Mcgowan | 2018 | 2008 - Cert in Rural Estate Planning - - Uni of Adelaide ~ 2008 - Dip of Financial Services (FP) - - Mentor Education ~ 2010 - Margin Lending - - Kaplan ~ 2013 - Advanced Dip FP - - Mentor Education ~ 2018 - Accredited Listed product Advisor - - Kaplan |
| Stefanie Seco | 2009 | 1990 - Chartered Tax Advisor - Professional Designations - Taxation Institute of Australia ~ 1990 - Tax Agent - Professional Designations - Tax Practitioners Board ~ 1995 - Bachelor of Laws (Honours) - Bachelor Honours Degree (AQF 8) - University of Wollongong ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education Group ~ 2013 - SMSF Auditor - Professional Designations - ASIC |