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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| Daniel John Roggero | 2018 | 2018 - Bachelor of Commerce - - University of Queensland ~ 2018 - DFP4 - - Kaplan ~ 2018 - Diploma of Financial Planning - - Kaplan |
| Dean Andrew Perrett | 2007 | 1994 - Bachelor of Commerce - - James Cook University ~ 1997 - Chartered Accountants professional Year program - - CAANZ ~ 2006 - Grad Diploma of Financial Planning - - FINSIA |
| Wayne John Roggero | 1984 | 1996 - Diploma of Life Insurance - - Australian Insurance Institute ~ 2000 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2005 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |