This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
provide financial product advice to wholesale clients for the following classes of financial products:
derivatives; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services;
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
derivatives;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients 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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
derivatives.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Dennis John Smart | 2002 | 2004 - Diploma of Financial Services - - Deakin Financial Services Group ~ 2005 - Margin Lending - Other - Pinnacle Group Financial Services ~ 2019 - Superannuation & Retirement - Other - Kaplan ~ 2020 - Ethics and Professionalism - Bridging Course - Ethics - Kaplan |
| Michael John Templeton | 1992 | 1999 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) |
| Nirlep Kalra | 2011 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - International Institute of Technology (IIT) |
| Scott Andrew Mckeown | 2005 | 2005 - Diploma Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca/Kaplan ~ 2011 - Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2012 - Advanced Diploma Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2012 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - Advanced Diploma (AQF 6) - Kaplan Professional |