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;
securities; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of 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;
securities; and
superannuation;
to retail and wholesale clients.
Name | First provided advice | Qualification and trainings |
---|---|---|
Adam Marc Barry | 2015 | Batchelor of Commerce - University of Wollongong ~ Chartered Accountant - Institute of Chartered Accountants ~ Graduate Diploma of Financial Planning - Securities Institute |
Adam Nicholson | 2008 | Bachelor of Business - Victoria University ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professional in Financial Advice - Kaplan ~ Margin Lending - Kaplan ~ Self Managed Super Fund - Kaplan |
Alistair Piercy | 1986 | Diploma of Financial Services (Financial Planning) - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ Superannuation Investments - RMIT |
Gerard Joseph O'shaughnessy | 2007 | Bachelor of Economics - ANU ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Ethics and Professionalism in Financial Advie - Kaplan ~ Grad Dip Computing - RMIT ~ Grad Diploma in Financial Planning - Securities Institute |
Hayden Health Booth | 2015 | Batchelor of Business - UTS ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Chartered Accounting - Institute of Chartered Accountants ~ Securities and Managed Investments - Kaplan |
Jonathan Wood | 2006 | Diploma in Financial Services - Kaplan |
Nicholas Pike | 1995 | Bachelor of Business(Banking & Finance) - Monash Uni ~ Ethic and Professionalism in Financial Advice - Kaplan ~ RG 146 - UTS |
Stewart John Collingwood | 2002 | Advanced Diploma of Business Marketing - Swinburne Institute of Technology ~ Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan |