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;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| James Neil Dakin | 1998 | 1992 - Bachelor of Economics - Economics & Accounting - - Macquarie University ~ 1996 - Certified Practicing Accountant - - Australian CPAs/Deakin University ~ 1997 - Master of Commerce - - Macquarie University ~ 1999 - Certified Financial Planner - - Financial Planning Association |
| Peter Louis Eichmann | 2000 | 1987 - Bachelor of Business Studies - Property Management - - Massey University, NZ ~ 1988 - Diploma of Business Studies - Finance - - Massey University, NZ ~ 2000 - Series 7 (US Securities) - - FINRA (NASD) - US ~ 2002 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2020 - Ethics & Professionalism in Fin Advice - Bridging Course - Ethics - Kaplan |