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;
securities;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of 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;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Jo-anne Nelson | 2017 | 1994 - Bachelor of Business - - University of Techonology Sydney ~ 1995 - Graduate Diploma of Applied Finance and Investment - - FINSIA ~ 2016 - Diploma of Financial Planning - - Kaplan Professional |
| Maria Elizabeth Dyson | 2001 | 2005 - Diploma Financial Planning (DipFP) - - Deakin University ~ 2014 - Master Applied Finance - - Kaplan Professional ~ 2018 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Pim John Van Gestel | 2008 | 2008 - ADA1 Derivatives Adviser - - Kaplan ~ 2009 - Diploma of Financial Services - - Kaplan Professional ~ 2015 - SMSF Specialist Advice - - Kaplan Porfessional |
| Richard Andrew Carey | 1999 | 1983 - Bachelor of Arts in Accounting - - Canberra College of Advanced Education ~ 1985 - Chartered Accountant (CA) - - Institute of Chartered Accountants Australia (ICAA) ~ 2002 - Certified Financial Planner (CFP) - - Financial Planning Association ~ 2014 - Chartered Accountants Self Managed Superannuation Funds (CA SMSF) Specialisation Workshop - - ICAA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |