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 |
|---|---|---|
| Devlin Stirling Joyes | 2010 | 2010 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2015 - Advanced Diploma Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Investment Banking Institute ~ 2015 - Certificate 4 in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Australia ~ 2015 - RG146 928 Margin Lending - Diploma (AQF 5) - Kaplan Australia ~ 2017 - Fellow Chartered Financial Practitioners (FChFP) - Professional Designations - Association of Financial Advisers (AFA) |
| Friede Mae Roberts | 2014 | 2012 - Diploma Financial Services (Financial Planning) FNS50408 - Diploma (AQF 5) - Kaplan Australia ~ 2013 - Advanced Diploma Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2015 - RG146 Tier 1 Margin Lending - Diploma (AQF 5) - Kaplan Australia ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |