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;
derivatives;
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;
derivatives;
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 |
|---|---|---|
| Erica Williams | 2014 | Bachelor of Commerce (Accounting and Finance) - University of Queensland |
| Glen Andrew Boath | 1989 | Bachelor of Business (Finance) - Northern Territory University ~ CFP - FPA ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan |
| Helen Joyce | 2008 | Diploma of Financial Services (Financial Planning) - Tribeca |
| Marco Giacomo Pandini | 2016 | Advanced Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Graduate Diploma in Stockbroking and Financial Advising - Western Sydney University |
| Matthew Harrington | 2007 | Advanced Diploma of Financial Services (Financial Planning) - ThreeSixty Education & Training |
| Michael Toohey | 2009 | Advanced Diploma - Financial Planning - Financial Planning Association of Australia ~ Bachelor of Business (Ag Commerce) - University of New England ~ SMSF Specialist Advisor - SMSF Association |
| Sigmone Bennion | 2013 | CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |