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 | Advanced Diploma - Financial Planning - Kaplan ~ Bachelor Degree - Business - Charles Sturt University ~ Certified Financial Planner - Financial Planner Association of Australia |
| Dustin Charles Bartholomew | 2007 | Advanced Diploma of Financial Services - Kaplan Professional ~ Bachelor of Business (Finance) - Charles Sturt University ~ Certified Financial Planner - FPA ~ Diploma of Financial Services - Kaplan Professional |
| Gregory Meale | 1996 | Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Margin Lending - MLC ThreeSixty |
| Ronald John Mccumstie | 2004 | Bachelor of Business (Accounting/Marketing) - Charles Sturt University ~ Certified Financial Planner - FPA ~ Certified Practising Accountant - CPA ~ Diploma of Financial Planning - FPA ~ Specialist in Financial Planning - CPA |