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 |
|---|---|---|
| Craig John Smith | 2003 | 2002 - Diploma of Financial Planning - - Deakin University ~ 2005 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2016 - Accredited Aged Care Professional - - Aged Care Steps ~ 2017 - SMSF Specialist Advisor - - SMSF Association ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Graeme Leslie Orr | 1994 | 1980 - Bachelor of Business - - Swinburne College of Technology ~ 1984 - Chartered Accountant Program - - Institute of Chartered Accountants Australia ~ 1993 - Financial Planning Course - - CPA Australia ~ 2011 - ASX Accredited Listed Products Adviser Program - - Kaplan Professional Education ~ 2018 - Diploma of Financial Planning - - Kaplan Professional Education |
| Yemimah Sadie Brady | 2014 | 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |