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 |
|---|---|---|
| Alexander Menzie | 2011 | 2009 - Bachelor of Business - - University of Tasmania ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2015 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Neal Robert Durling | 2000 | 1991 - Bachelor Degree (Hons) - Business Studies - - London Business School ~ 1998 - Other - Institute of Bankers UK (Associate) - - Institute of Financial Services ~ 2016 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2019 - Insurance Advice FPC004 - Graduate Diploma (AQF 8) - Kaplan ~ 2019 - Super & Retirement FPC003 - Graduate Diploma (AQF 8) - Kaplan |
| Sean O'kane | 2007 | 1991 - Bachelor Degree (Hons) - Business - - Bournemouth University ~ 2016 - Advanced Diploma in Financial Planning - - Pinnacle ~ 2018 - Self Managed Super Funds - - Kaplan |