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;
standard margin lending facility; and
superannuation;
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;
standard margin lending facility; and
superannuation; and
provide a claims handling and settling service limited to:
the person makes a recommendation, or states an opinion, in the following circumstances:
the recommendation, or statement of opinion, is made in response to an inquiry by or on behalf of another person about an existing or a potential claim by the other person under an insurance product; and
the recommendation, or statement of opinion, could reasonably be expected to influence a decision whether to continue with the existing claim or to make the potential claim;
the person assists another person to make a claim under an insurance product; and
the person represents a person insured under an insurance product in pursuing a claim under the product;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Craig Richardson | 2014 | Diploma Financial Planning FNS50611 - Kaplan Australia ~ RG146 Margin Lending - Kaplan Australia |
| Jodie Howes | 2018 | AU Inhouse Securities Accreditation - AUPFS ~ Bachelor of Business (Financial Planning) with Distinction - RMIT University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Paul Keith Jackson | 1995 | Applied Self Managed Super Fund Advice - Australian Executor Trustees ~ CFP 1 - Ethics, Professionalism and Compliance - FPA ~ Diploma of Financial Planning - FPA/Deakin University ~ Financial Planning Principles & Practice Course - Securities Institute Education ~ Margin Lending and Geared Investments - Kaplan |