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 |
|---|---|---|
| Heath David Whyte | 1996 | 2005 - SDIA Accreditation Program Tier 1 Level - - Securities & Derivatives Industry Association - Deakin Uni ~ 2009 - Advanced Diploma of financial Services (Financial Planning) - - Kaplan ~ 2011 - Margin Lending & Geared Investments - - Kaplan |
| Melissa Williams | 2018 | 1998 - Bachelor of Commerce - - University of Newcastle ~ 2016 - Diploma of Financial Planning - - Kaplan |
| Trevor Ian Williams | 1974 | 1977 - LUA Training Course Stage 1 - - Life Underwriters Association of Australia ~ 1986 - LUA Training Course Stage 2 - - Life Underwriters Association of Australia ~ 1988 - LUA Disability Income Course - - Life Underwriters Association of Australia ~ 2006 - Diploma of Financial Services (financial planning) - - Tribeca |