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 |
|---|---|---|
| Darren Anthony Strickland | 1994 | 2003 - PS 146 Training Course 1 Managed Investments and Securities - - Financial Services Training & Assessment ~ 2003 - PS 146 Training Course 2 Life Insurance and Insurance Broking - - Financial Services Training & Assessment ~ 2004 - PS 146 Training Course 3 Superannuation - - Financial Services Training & Assessment ~ 2004 - PS 146 Training Course 4 Financial Planning - - Financial Services Training & Assessment ~ 2022 - Financial Adviser - Professional Designations - ASIC |
| Patrick Valentine Hennessy | 2013 | 1992 - Bachelor of Business - - University of Southern Queensland ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2013 - ASIC RG146 Skills Assessment - - Integrity Education Group ~ 2021 - FASEA Standards Authority - Other - FASEA |
| Sarah Pearson | 2023 | 2020 - Professional Ethics - Bridging Course - Ethics - University of New England ~ 2021 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Canberra ~ 2022 - Exam Standard Section 921B Corporatons Act 2001 - Other - ASIC |