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;
life products limited to:
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;
life products limited to:
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 |
|---|---|---|
| Ian Ross Gillies | 1985 | 1987 - Securities Institute Certificate - - Securities Institute of Australia ~ 1990 - Diploma of Financial Planning - - FPA ~ 1991 - Certified Financial Planner - - FPA ~ 1993 - Certificate 4 in Training and Assessment - - FPA ~ 1998 - BBus - - RMIT |
| John Walter Robson | 1997 | 1993 - Bachelor of Arts - - University of Ballarat ~ 2002 - Graduate Diploma in Financial Planning - - Securities Institute of Australia |
| Natalie Anne Waterhouse | 2018 | 2017 - Diploma of Financial Planning - - Kaplan |
| Thomas Price Almond | 2005 | 2000 - Bachelor of Economics - - University of Newcastle ~ 2008 - Diploma of Financial Planning - - Kaplan / UTS ~ 2012 - Post Grad Certificate Applied Finance - - Macquarie University |