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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; and
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;
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 Grant Suosaari | 2007 | 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2015 - Master of Applied Finance - - Kaplan Higher Education Pty Ltd ~ 2015 - RG146 Licensing Compliance: Margin Lending Facilities - - Financial Education Professionals ~ 2016 - Self Managed Superannuation Funds - - Deakin University ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Mark Ian Darling | 1995 | 1992 - Diploma of Financial Services - - Australian and New Zealand Institute of Insurance and Finance (ANZIIF) ~ 1999 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) ~ 2005 - Certificate of Self Managed Superannuation Funds - - Tribeca Learning (Australia) Pty Ltd ~ 2010 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |