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;
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; 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anthony Rosenberg | 2004 | 1998 - Bachelor of Business - - Edith Cowan University ~ 2004 - Diploma of Financial Services (FP) - - Kaplan ~ 2015 - Estate Planning - - Kaplan ~ 2015 - Securities - - Kaplan ~ 2015 - Taxation Planning - - Kaplan |
| Gerrie DE Wet | 2014 | 2011 - Bachelor of Commerce - - University of South Africa (South Africa) ~ 2014 - Bachelor of Accounting - - University of South Australia ~ 2014 - Diploma of Financial Planning - - International Institute of Technology |
| Keith Allen | 2022 | 2020 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan |