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 |
|---|---|---|
| Brett Stein | 1992 | 2004 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA ~ 2010 - ASX Accredited listed Product Adviser - Other - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Self-Managed Superannuation Funds - - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Daniel Scott Sharp | 2003 | 1988 - Bachelor of Economics - - ANU ~ 1998 - Diploma of Financial Planning - - FPA ~ 2007 - Master of Financial Planning - - RMIT ~ 2015 - Certified Financial Planner - - FPA |
| Prudence Elizabeth Martin | 2008 | 2004 - Bachelor of Commerce - - UNE ~ 2007 - Lev 3 Cert in Financial Planning, UK - - Chartered Insurance Institute ~ 2009 - Graduate Diploma of Financial Planning - - Kaplan ~ 2011 - Masters of Applied Finance majoring in Financial Planning - - Kaplan ~ 2015 - Certified Financial Planner - - FPA |