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 | BBus - RMIT ~ Certificate 4 in Training and Assessment - FPA ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Securities Institute Certificate - Securities Institute of Australia |
| John Walter Robson | 1997 | Bachelor of Arts - University of Ballarat ~ Graduate Diploma in Financial Planning - Securities Institute of Australia |
| Mark Duncan | 2005 | Advanced Dip FP - Tribecca |
| Natalie Anne Waterhouse | 2018 | Diploma of Financial Planning - Kaplan |
| Thomas Price Almond | 2005 | Bachelor of Economics - University of Newcastle ~ Diploma of Financial Planning - Kaplan / UTS ~ Post Grad Certificate Applied Finance - Macquarie University |