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:
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 |
|---|---|---|
| Daniel Clint Snelson | 2008 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ SMSF - eFinancial Essentials |
| Fiona Castle | 2017 | Accredited Aged Care Professional - Aged Care Steps ~ Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Diploma of Financial Planning - Kaplan Professional Education ~ Securities & Managed Investments - Kaplan Professional Education |
| Matthew James Marsh | 2014 | Accredited Aged Care Professional - Aged Care Steps ~ Diploma of Commerce - University of New England ~ Graduate Certificate in Financial Services - University of New England ~ Master of Financial Services - University of New England ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Rebecca O'neill | 0 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Timothy Condon | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education ~ Graduate Diploma of Financial Planning - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |