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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Darren Heveren | 2012 | Bachelor of Business - Swinburne University ~ Diploma of Financial Services - Dover Financial Training ~ Professional Year - Institute of Chartered Accountants |
| Katherine Louise Murphy | 2015 | Bachelor of Business (Accounting) - Swinburne University of Technology ~ Certificate IV Financial Services (Finance and Mortgage Broking) - Mortgage and Finance Association of Australia (MFAA) ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Mentor Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Paul Darryl Greenwood | 1992 | Diploma of Financial Planning - Deakin University ~ Graduate Certifice of Banking and Finance - Swinburne University of Technology ~ Masters of Business (Banking & Finance) - Monash University |