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 limited to:
old law securities options contracts and warrants;
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;
derivatives limited to:
old law securities options contracts and warrants;
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 |
---|---|---|
Adam James Middlemis | 2009 | Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Life Risk Specialist - FPA ~ Master of Financial Planning - Kaplan Professional |
Brett Andrew Marchant | 2007 | Bachelor of Commerce - Deakin University ~ CFP Certification - FPA ~ Diploma of Financial Planning - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending - Kaplan |
Daniel William Nalder | 2013 | Accredited Age Care Professional - Aged Care Steps ~ Bachelor of Accounting - La Trobe University ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional |
Kristopher Graeme Oliver Tatt | 2011 | Bachelor of Commerce (Accounting) - La Trobe University ~ CPA Program - CPA Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ SMSF Specialist Advisor (SSA) Accreditation Program - SPAA |
Michael John Cherry | 2012 | Accredited Aged Care Professional - Aged Care Steps ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business - La Trobe University ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Introduction to Self Managed Superannuation Funds - Kaplan Professional |
Michael Zealley | 2007 | Advanced Diploma of Financial Services (Financial Planning) - KAPLAN ~ Diploma of Financial Services (Financial Planning) - TRIBECA |