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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Claire Maree Richmond-miller | 2018 | 1996 - Bachelor of Business - - Monash University ~ 2017 - Diploma of Finaial Pllaning - - Kaplan Professional ~ 2017 - Tax for Financial Advising - - Kaplan Professional ~ 2023 - SMSF Specialist Course - Other - Super Concepts & The Adelaide University |
| Rodney William Rowley | 2004 | 1994 - Bachelor of Business - - Monash University ~ 2001 - DPML Margin Lending - - Pinnacle Financial Service ~ 2002 - Certified Practising Accountant - - CPA Australia ~ 2004 - PS 146 Knowledge Assessment - - Tribeca ~ 2005 - Public Practice Certificate - - CPA Australia |