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;
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
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alastair John Duncan Kennedy | 2008 | 2010 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan |
| Andrew John Keay | 2012 | 1987 - Bachelor of Business - - Edith Cowan University ~ 2002 - Graduate Diploma in Applied Finance & Investment - - Securities Institute ~ 2003 - Diploma of Financial Services (Financial Planning) - - Three Sixty ~ 2003 - Policy Statement 146 Knowledge Assessment - - Integratec (Aust) |
| James Richard Randle | 2005 | 1998 - Diploma of Financial Markets - - Securities Institute of Australia ~ 2000 - Bachelor of Arts (Human Geography) / Bachelor of Laws - - Macquarie University ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan |