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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 |
|---|---|---|
| Benjamin Miles Snedeker | 2008 | Accredited Derivatives Adviser Level 1 - Kaplan ~ Bachelor Of Commerce - Curtin University of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma Of Financial Planning - FINSIA ~ Masters of Applied Finance - Kaplan |
| Christopher Marcus Michael | 2022 | Bachelor of Commerce - Notre Dame ~ Graduate Diploma of Financial Planning - Kaplan |
| Darren Gaspar | 2008 | Certificate IV in Financial Services - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending & Geared Investments - Kaplan |
| Jack Thomas Johns | 2015 | Bachelor of Commerce - University of Western Australia ~ RG 146 - Kaplan |