This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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
provide financial product advice to wholesale clients for the following classes of financial products:
interests in managed investment schemes limited to:
MDA services;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients 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; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
interests in managed investment schemes limited to:
MDA services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Cameron Craig Mcallister | 2006 | 1993 - Bachelor of Commerce - - Deakin University ~ 1998 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2002 - CPA Program - - CPA Australia ~ 2014 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| James Elliot Grindrod | 2012 | 2005 - Bachelor of Commerce (Finance and Economics) - Bachelor Degree (AQF 7) - Victoria University of Wellington ~ 2011 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Sean James Hurren | 2018 | 2016 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Zhaohui Raf Yang | 2018 | 2008 - diploma business - - monash college ~ 2010 - bachelor of business - - Monash University ~ 2011 - master of applied finance - - Monash University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |