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;
interests in managed investment schemes limited to:
MDA 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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Ashley Stapley | 2004 | 2006 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute Of Technology ~ 2010 - CERTIFIED FINANCIAL PLANNER - Professional Designations - Financial Advice Association Australia (FAAA) |
| Lee Hendrick Riske | 2004 | 2005 - Diploma of Financial Advising - Diploma (AQF 5) - Securities Institute ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Securities Institute ~ 2008 - Certificate III in Financial Services - Certificate (AQF 1-4) - National Insurance Brokers Association (NIBA) ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy Pty Ltd |
| Timothy John Charles Hillier | 2006 | 2006 - Diploma of Financial Services (Financial Planning - Diploma (AQF 5) - ThreeSixty ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education |