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 | Bachelor of Business - Ballarat University College ~ Certified Practising Accountant - CPA Australia ~ Financial Planning Specialist - CPA Australia ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Tribeca |
Paul Bradley Hirth | 2011 | Derivatives accreditation - MLC Education ~ Diploma of Finance & Mortgage Broking Management - National Finance Institute ~ Graduate Diploma of Applied Finance - Kaplan Professional Education ~ Masters of Applied Finance - Kaplan Professional Education ~ Provide Advice in Margin Lending - MLC Education |
Renee Carolyn Wakeling | 2018 | Bachelor of Commerce - Ballarat University ~ Diploma of Financial Planning - Kaplan |