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;
interests in managed investment schemes limited to:
MDA 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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Dirk Werner | 2001 | 2004 - Certified Financial Planner - - FPA ~ 2009 - Master of Financial Planning - - RMIT ~ 2011 - SMSF Specialist Advisor - - SMSF Association ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Lisa Monique Werner | 2018 | 2003 - Bachelor of Business Administration - - Macquarie University ~ 2008 - Diploma of Financial Services - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Matthew James Mcmahon | 2010 | 2005 - Bachelor of Commerce - - Monash University ~ 2010 - Diploma of Financial Planning - - Kaplan ~ 2012 - Advanced Diploma of Financial Planning - - Kaplan |
| Matthew Tarrant | 2022 | 2019 - Bachelor of Business (Major in Economics and Finance) - Bachelor Degree (AQF 7) - Swinburne ~ 2020 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |