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 | 1995 - Bachelor of Business - - Swinburne University ~ 1999 - Professional Year - - Institute of Chartered Accountants ~ 2010 - Diploma of Financial Services - - Dover Financial Training |
| Katherine Louise Murphy | 2015 | 2002 - Bachelor of Business (Accounting) - - Swinburne University of Technology ~ 2009 - Certificate IV Financial Services (Finance and Mortgage Broking) - - Mortgage and Finance Association of Australia (MFAA) ~ 2014 - Diploma of Financial Planning - - Mentor Education ~ 2018 - Certified Financial Planner - Professional Designations - FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Paul Darryl Greenwood | 1992 | 2001 - Diploma of Financial Planning - - Deakin University ~ 2013 - Graduate Certifice of Banking and Finance - - Swinburne University of Technology ~ 2015 - Masters of Business (Banking & Finance) - - Monash University |