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;
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;
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 |
|---|---|---|
| Alan Lake | 1998 | ACS Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Commerce - University of Western Sydney ~ Diploma of Financial Planning - FPA ~ SMSF Specialist Advisor (SSA) - SMSF Association |
| Graeme Davy | 2002 | Bachelor of business (finance and banking) - Charles Sturt University ~ Certified Financial Planner - FPA ~ Diploma of financial planning - Financial Planning Association ~ Ethics and professionalism in financial advice - Kaplan Professional |
| Iain Jeffery | 2002 | Accredited Derivatives Adviser Level 1 - ADA1 - SAFAA ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Science - UNSW ~ Certified Financial Planner - FPA ~ Certified Financial Planner - FPA ~ Margin Lending - Kaplan ~ Master of Financial Planning - University of Sunshine Coast ~ Master of Financial Planning - University of the Sunshine Coast ~ Tier 1 Margin Lending - Kaplan |
| Mark Andrew Gilliam | 2015 | Diploma of Financial Planning - International Institue of Technology ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional |