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 |
|---|---|---|
| Andrew Sherlock | 1999 | 2000 - RG146 Training Course - Retirement Planning - - Independent Cerntre of Financial Training ~ 2003 - Chartered Accountant - Financial Planning Specialist - - The Institute of Chartered Accountants in Australia ~ 2005 - The Strategist Group's Self Managed Superannuation Funds Adviser Course - - Tribeca ~ 2006 - PS146 Knowledge Assessment - Core, Life and General Insurance, Securities, Derivatives - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Hugh James Campbell | 2018 | 2012 - Bachelor of Economics - - Macquarie University ~ 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Education Pty Ltd |