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 limited to:
old law securities options contracts and warrants;
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 |
|---|---|---|
| Andrew Searle Travis | 2008 | 2006 - Bachelor Degree - Business - - Charles Sturt University ~ 2015 - Advanced Diploma - Financial Planning - - Kaplan ~ 2018 - Certified Financial Planner - - Financial Planner Association of Australia |
| Dustin Charles Bartholomew | 2007 | 2006 - Bachelor of Business (Finance) - - Charles Sturt University ~ 2006 - Diploma of Financial Services - - Kaplan Professional ~ 2009 - Advanced Diploma of Financial Services - - Kaplan Professional ~ 2012 - Certified Financial Planner - - FPA |
| Gregory Meale | 1996 | 1999 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Ronald John Mccumstie | 2004 | 1996 - Bachelor of Business (Accounting/Marketing) - - Charles Sturt University ~ 2002 - Certified Practising Accountant - - CPA ~ 2004 - Diploma of Financial Planning - - FPA ~ 2006 - Specialist in Financial Planning - - CPA ~ 2008 - Certified Financial Planner - - FPA |