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;
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:
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;
deposit products other than basic deposit products;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Brian Martin Willett | 2005 | Bachelor of Commerce - The University of New South Wales ~ FASEA Exam - FASEA ~ Graduate Diploma of Financial Planning - Securities Institute of Australia ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Jonathan Winfield | 2013 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Certified Financial Planner - Financial Planning Association ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ FASEA Exam - FASEA ~ Graduate Certificate in Business Administration - University of Technology Sydney |
| Nuno DE Sousa Godinho | 2003 | Anti Money Laundering/Counter Terrorism Financing - Mortgage & Finance Association of Australian ~ Bachelor of Economics - Monash University ~ Ethics & Professionalism in Financial Advice - Kaplan ~ FASEA Exam - FASEA ~ Specialist in Financial Planning - CPA Australia |
| Shaun Andrew Guzzo | 2013 | Bachelor of Business - RMIT University ~ Ethics & Professionalism in Financial Planning - Kaplan ~ FASEA Financial Adviser Exam - FASEA |