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 |
|---|---|---|
| Claudia Gould | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Certificate in Financial Planning - Griffith University ~ Master of Financial Planning - Griffith University ~ Self Managed Super Funds - Tribeca |
| Gordon Berriman | 2003 | Commercial Law - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Monorch Institute ~ Graduate Diploma of Financial Planning - Charles Sturt University |
| Igal Prigan | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca Learning ~ Bachelor of Science (Mathematics, Computer Science & Complementary Studies) - Hebrew University of Jerusalem ~ Margin Lending & Geared Investments - Kaplan Professional Education ~ Master of Business Leadership - University of South Africa ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Nigel Ivor Owen | 2003 | Bachelor of Commerce - University of Cape Town ~ Diploma of Financial Planning - Securities Institute ~ Honors in Accounting Science - University of South Africa ~ Margin Lending & Geared Investments - Pinnacle ~ Self Managed Super Funds - Kaplan |