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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Chris Kourmpatsos | 2007 | 2001 - Bachelor of Commerce - - University of Newcastle ~ 2001 - Bachelor of Economics - - University of Newcastle ~ 2004 - Graduate Diploma of Financial Planning - - Kaplan Professional (formerly FINSIA) ~ 2009 - Certified Financial Planner - - FPA ~ 2010 - Master of Applied Finance - - Kaplan Professional |
| Megan Littlewood | 2016 | 2012 - Bachelor of Commerce (Financial Planning & Accounting) - - University of Wollongong ~ 2016 - Master of Financial Planning - - Kaplan Professional |
| Rodney Gray | 1994 | 1989 - Bachelor of Commerce - - University of Newcastle ~ 1992 - Chartered Accountant - - Chartered Accountants Australia New Zealand ~ 1994 - Graduate Diploma in Applied Finance & Investment - - Securities Institute ~ 2000 - Certified Financial Planner - - FPA |