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 |
|---|---|---|
| Bradley Smith | 2001 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca Learning ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca Learning ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps ~ 2017 - Fellow Chartered Financial Practioner - - Association of Financial Advisers |
| Scott Jarrod Smith | 2006 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca Learning ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2016 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education ~ 2018 - Fellow Chartered Financial Practitioner (FChFP) - - Kaplan / AFA |