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;
deposit products other than 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;
deposit products other than 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 |
|---|---|---|
| Michael Poulton | 2003 | 1993 - Bachelor of Business - - Ballarat University College ~ 1997 - Certified Practising Accountant - - CPA Australia ~ 2002 - Financial Planning Specialist - - CPA Australia ~ 2004 - Self Managed Superannuation Funds - - Tribeca ~ 2010 - Margin Lending and Geared Investments - - Kaplan |
| Paul Bradley Hirth | 2011 | 2008 - Graduate Diploma of Applied Finance - - Kaplan Professional Education ~ 2011 - Derivatives accreditation - - MLC Education ~ 2011 - Provide Advice in Margin Lending - - MLC Education ~ 2012 - Diploma of Finance & Mortgage Broking Management - - National Finance Institute ~ 2014 - Masters of Applied Finance - - Kaplan Professional Education |
| Renee Carolyn Wakeling | 2018 | 2003 - Bachelor of Commerce - - Ballarat University ~ 2017 - Diploma of Financial Planning - - Kaplan |