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 |
|---|---|---|
| Jonathan Bruce Sherlock | 1998 | 1994 - Bachelor of Commerce (Finance & Real Estate) - - Bond University ~ 1994 - Bachelor of Law (Mergers & Acquisitions, Insolvency) - - Bond University ~ 2006 - Diploma of Finance and Advanced Finance - - Kaplan |
| Mark Sing | 2004 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - Self Managed Super Fund Certificate - Diploma (AQF 5) - Kaplan |
| Matthew James Sherlock | 1997 | 1995 - Bachelor of Laws - - Bond University ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education |