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 |
|---|---|---|
| Haydn William Gannon | 2013 | 2012 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Pinnacle ~ 2014 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Richard James Dennis | 2000 | 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2007 - Diploma of Management - Diploma (AQF 5) - Deakin University ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Wayne Nash | 2006 | 1991 - Certificate of Business Studies - - Department of Technical and further education ~ 2002 - Diploma of Business Studies - - Challenger TAFE ~ 2013 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |