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 |
|---|---|---|
| Nathan Ritchie | 2010 | 2010 - Bachelor Commerce Finance & Financial Planning - Bachelor Degree (AQF 7) - Deakin University ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2016 - SMSF Specialist Advisor - Professional Designations - Self Managed Super Fund Association ~ 2020 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Paul David Chalmers | 2003 | 2005 - Bachelor Business Financial Planning - Bachelor Degree (AQF 7) - RMIT ~ 2007 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2011 - Self-Managed Super Fund Specialist Advisor - Professional Designations - SMSF Professionals Association ~ 2013 - Listed Product Accreditation - - LPAC ~ 2020 - Ethics & Proessionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Ruby Alice Burtonwood | 2018 | 2016 - Bachelor of Commerce (Finance, Accounting & Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |