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;
standard margin lending facility; 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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Bernadette Shiels | 2015 | 2003 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2015 - Diploma of Financial Planning - - Integrity Education Group ~ 2015 - Margin Lending Adviser (Personal Advice) - - Mentor Education ~ 2015 - Self Managed Superannuation Funds - - Mentor Education ~ 2020 - Certified Financial Planner - Professional Designations - FPA |
| David Svent | 1999 | 2003 - Advanced Diploma Financial Services (Financial Planning) - - Deakin University & Integratec |
| Matthew Rigby | 2011 | 2001 - Bachelor of Business (Economics and Finance) - - Royal Melbourne Institute Of Technology ~ 2008 - Diploma of Financial Services (Financial Planning) - - Finsia ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2015 - Self-Managed Superannuation Funds - Other - Kaplan Professional ~ 2018 - Margin Lending Personal Advice - Other - Kaplan Professional |