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 |
|---|---|---|
| Dale Bryan Smith | 2015 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group ~ 2020 - MAA769 Ethics for Financial Services - Bridging Course - Ethics - Deakin University |
| Stefanie Maria Bond | 0 | 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Stuart Gordon Mcgilvray | 2009 | 2006 - Diploma of Financial Services (Financial Planning) - - Finsia ~ 2010 - Bachelor of Business (Financial Planning) - - RMIT University ~ 2010 - Margin Lending and Geared Investments - Statement of Attainment - - Kaplan ~ 2011 - Certified Financial Planner - - FPA ~ 2011 - Self Managed Superannuation Fund - Statement of Attainment - - Kaplan |