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;
derivatives;
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:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
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 |
|---|---|---|
| Ben Howarth | 2014 | 2004 - Bachelor of Agricultural Economics - - University of Sydney ~ 2005 - Diploma of Financial Services - - AFMA ~ 2014 - Diploma of Financial Planning - - Pinnacle ~ 2017 - Advanced Diploma of Financial Planning - - Integrity Education Group |
| Christopher Hall | 2006 | 2006 - SDIA Accreditation Program - - Deakin University ~ 2007 - ASX Accredited Derivatives Adviser Level 2 - - Tribeca ~ 2007 - Bachelor of Economics - - Sydney University ~ 2011 - Diploma of Financial Services (Financial Planning) - - RG146 Training ~ 2011 - Margin Lending and Geared Investments - - Kaplan |