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;
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; 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;
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; and
superannuation;
to retail clients.
Name | First provided advice | Qualification and trainings |
---|---|---|
Ben Raymond Farnsworth | 2005 | Diploma of Financial Services - Kaplan |
Glenn Balderston | 2016 | Advanced Dip Financial Services - Monarch Uni ~ Dip Financial Services - Monarch Uni |
Greg Richard Batterham | 2009 | Advanced Diploma of Financial Planning - Mentor Education Pty Ltd ~ Certificate IV Financial Services (Finance/Mortgage Broking) - Mortgage & Finance Association of Australia (MFAA) ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Master of Business (Banking & Finance) - University of Technology Sydney (UTS) |
Kimberly Shen | 2016 | Bachelor of Commerce - University of Newcastle |
Leigh Birch | 2008 | Investment Banking Institute - Diploma of Financial Services |
Pavil Ovchinnikoff | 1999 | Bachelor of Economics - The Australian National University ~ Diploma of Financial Planning - Financial Planning Association ~ Graduated Diploma in Applied Finance and Investment - Securities Institute Education |
Steven Robert Bell | 2018 | Diploma Of Financial Services - Kaplan Professional |