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; 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;
derivatives limited to:
old law securities options contracts and warrants;
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 |
|---|---|---|
| George Phillipos | 1988 | 1978 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2002 - PS146 Knowledge - Other - Integratec ~ 2005 - ASX Listed Products - Other - ASX / Savings Factory |
| Kenneth Roxburgh Helsby | 1986 | 1976 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - WAIT (now Curtin University) ~ 1994 - Applied Portfolio Management - Graduate Diploma (AQF 8) - SIA (now FINSIA) ~ 1994 - Property Investment & Analysis - Graduate Diploma (AQF 8) - SIA (now FINSIA) ~ 2002 - Financial Analysis & Valuation - Graduate Diploma (AQF 8) - SIA (now FINSIA) ~ 2002 - Securities Industry Law & Ethics - Graduate Diploma (AQF 8) - Securities Institute (now FINSIA) |
| Stephen Michael Blizard | 1986 | 1988 - Certified Investment & Financial Adviser - Other - ASIFA ~ 2002 - Investment Planning 1 - Professional Designations - FPA ~ 2003 - Superannuation/Retirement Planning & Risk Management - Other - Integratec ~ 2014 - Managerial Accounting 530 - Other - Curtin University Business School ~ 2015 - Self Managed Superannuation Funds - Other - Kaplan |