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 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business - University of Tasmania ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Neal Robert Durling | 2000 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor Degree (Hons) - Business Studies - London Business School ~ Insurance Advice FPC004 - Kaplan ~ Other - Institute of Bankers UK (Associate) - Institute of Financial Services ~ Super & Retirement FPC003 - Kaplan |
| Sean O'kane | 2007 | Advanced Diploma in Financial Planning - Pinnacle ~ Bachelor Degree (Hons) - Business - Bournemouth University ~ Insurance Advice FPC004 - Kaplan ~ Self Managed Super Funds - Kaplan ~ Superannuation & Retirement FPC003 - Kaplan |