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;
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:
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;
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 |
|---|---|---|
| Anthony William Gray | 1996 | 1994 - B.Com, LLB - - University of Tasmania ~ 1996 - Diploma of Financial Planning - - RMIT University ~ 1996 - Graduate Diploma of Applied Finance & Investment - - Finsia (Securities Institute) ~ 1997 - Certified Financial Planner (CFP) - - FPA |
| Candice Lee Whiting | 2012 | 2008 - B.Com - - University of Tasmania ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional Education |
| Curtis Mario Taylor | 1990 | 1985 - BA/Llb - - University of Tasmania ~ 1985 - DipSiA - - Securities Institute of Australia ~ 1991 - Dip FP - - FPA ~ 1994 - CFP - - FPA ~ 2006 - GAICD - - Australian Institute of Company Directors |