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;
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;
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 |
|---|---|---|
| Deborah Ann Rognlien | 2003 | 1973 - Bachelor of Science Degree - - University of Wisconsin Madison USA ~ 1984 - Master of Science Degree - - University of Wisconsin Madison USA ~ 1992 - Certified Financial Planner - - Deakin University ~ 1992 - Diploma Financial Planning - - Deakin University ~ 2011 - Margin Lending Course - - Bankers Trust |
| Nicola Louise Henley | 2003 | 2008 - Bachelor of Business Financial Planning - Bachelor Degree (AQF 7) - RMIT ~ 2011 - Margin Lending Certification Course - - Bankers Trust ~ 2011 - Margin Lending Course - - Bankers Trust ~ 2014 - Cert IV Finance - - Mortgage Finance Advisors Assoc ~ 2014 - Experience of 10 Years Submission - - Tax Practitioners Board |