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;
derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
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;
derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
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 |
|---|---|---|
| Dominic Cogger | 2000 | 1995 - BSC Honours Business and Tourism Studies - Bachelor Honours Degree (AQF 8) - Canterbury Christchurch College UK ~ 2003 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2008 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2021 - FASEA - Other - Fasea Standards Authority |
| Errol Woodbury | 1985 | 2000 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2002 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2021 - FASEA - Other - Fasea Standards Authority |
| Martin William Van Rooy | 2018 | 2015 - Bachelor of Commerce (Financial Planning and Accounting) - Bachelor Degree (AQF 7) - Deakin University ~ 2020 - Master of Applied Finance (Financial Planning) - Masters Degree (AQF 9) - rles Sturt University |