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 limited to:
old law securities options contracts and warrants;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives limited to:
old law securities options contracts and warrants; and
interests in managed investment schemes limited to:
MDA services; and
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 limited to:
old law securities options contracts and warrants;
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 |
|---|---|---|
| Claire Cothleen Garrott | 2006 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Science with Honours - University of Tasmania ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professsional |
| Philippa Louise Crombie | 2017 | Bachelor of Business -Financial Planning - RMIT ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Richard Robert Alan Pollock | 2005 | Advanced Diploma of Financial Planning FNS60415 - Kaplan Professional ~ Diploma of Finance and Mortgage Broking Management - Institute of Strategic Management ~ Diploma of Financial Planning FNS50611 - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) FNS50804 - Securities Institute |
| Timothy Andrew Chisholm | 2013 | Bachelor of Commerce (Majors in Commercial Law, Finance & Financial Planning) - Deakin University ~ Certified Financial Planner - Financial Planning Association of Australia (FPA) ~ Ethics for Financial Services - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Deakin University |