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 |
|---|---|---|
| David Scott Harrison | 2001 | 1998 - Certificate in Financial Markets - - Securities Institute Education SA ~ 2000 - Diploma in Financial Planning - - Financial Planning Association of Australia Ltd (Deakin University) ~ 2009 - Diploma of Financial Services - - NSW TAFE ~ 2012 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - AAMC Training Group ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Stefan Carl Russo | 2023 | 2010 - Financial Services (Accounting) - Certificate (AQF 1-4) - TAFE SA ~ 2010 - Financial Services (Accounts Clerical) - Certificate (AQF 1-4) - TAFE SA ~ 2020 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - University of South Australia ~ 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of South Australia ~ 2020 - Ethics and Professionalism - Bridging Course - Ethics - University of South Australia |