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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
general insurance 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 limited to:
debentures of a body corporate or unincorporated body only;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products; and
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:
deposit products other than basic deposit products;
non-cash payment products;
general insurance 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 limited to:
debentures of a body corporate or unincorporated body only;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anjali Sharma | 1999 | Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Benjamin Michael Holian | 2005 | Batchelor of Business, Economics & Finance - RMIT University ~ Bridging Course - Ethics - Kaplan ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Kaplan ~ FASEA Exam - FASEA |
| Paul Robin Patman | 2003 | Bridging Course - Ethics - Kaplan ~ Diploma of Financial Services (Financial Planning) FNB50199 - Commonwealth Bank ~ FASEA Exam - FASEA |
| Stephen Craig Reardon | 1996 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin ~ FASEA Exam - FASEA |