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:
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;
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 |
|---|---|---|
| Gordon Berriman | 2003 | 2018 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Monorch Institute ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Charles Sturt University ~ 2023 - Commercial Law - Certificate (AQF 1-4) - Kaplan Professional |
| Igal Prigan | 2007 | 1985 - Bachelor of Science (Mathematics, Computer Science & Complementary Studies) - - Hebrew University of Jerusalem ~ 1991 - Master of Business Leadership (MBL) - Masters Degree (AQF 9) - University of South Africa (UNISA) ~ 1991 - Master of Business Leadership - - University of South Africa ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca Learning (Kaplan Professional Education) ~ 2009 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional Education ~ 2012 - ASX Accredited Listed Product Adviser (ALPA) - Other - Kaplan Professional Education ~ 2016 - AFA Fellow Charted Financial Practitioner (Fchfp) - Professional Designations - Kaplan Professional Education and AFA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Nigel Ivor Owen | 2003 | 1985 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Cape Town ~ 1989 - Honors in Accounting Science - Bachelor Honours Degree (AQF 8) - University of South Africa ~ 2002 - Chartered Accountant - Professional Designations - Institute of Chartered Accountants Australia and New-Zealand ~ 2005 - Diploma of Financial Planning - Diploma (AQF 5) - Securities Institute ~ 2010 - Self Managed Super Funds - - Kaplan ~ 2011 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA/FAAA) ~ 2011 - Margin Lending & Geared Investments - - Pinnacle |