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;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| Alexander Hugh Goldsmith | 2010 | Bachelor of Economics - Australian National University |
| Bruce Hedley Kluk | 2010 | Bachelor of Commerce - Natal University South Africa ~ Certificate in Accounting Theory - Wits University South Africa ~ Certified Financial Planner - Deakin University ~ Chartered Accountant - Institute of Chartered Accountants South Africa |
| Dwayne Valerio Fernandes | 2010 | Accredited Estate Planning Specialist - University of Technology - Sydney ~ Bachelor of Business - Economics and Finance - University of Western Sydney ~ Certified Financial Planner - Financial Planning Association ~ Master of Commerce - Financial Planning - University of Western Sydney |
| Grant Goldsworthy | 2013 | Bachelor of Business - Marketing - Western Sydney University ~ Diploma of Financial Planning - Kaplan Professional ~ Master of Business Administration - University of Technology, Sydney ~ Provide Advice in Margin Lending - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Thomas Rosario LA Mela | 2016 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - The University of Western Australia ~ Diploma of Financial Planning - Kaplan ~ Tier1 Margin Lending - Personal Advice - Kaplan |