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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Louisa Justina Sporn | 2014 | Advanced Diploma Financial Planning - Kaplan Professional ~ Bachelor Maths & Finance (Math Econ) - University of Wollongong ~ Commercial Law - Kaplan Professional ~ Diploma of Financial Planning - Integrity ~ Self Managed Super Funds - Integrity |
| Sean Michael Mcgowan | 2004 | Accredited Estate Planning Strategist - University Technology - Sydney ~ Bachelor of Economics and Finance - UNSW Australia ~ Certified Financial Planner, Financial Planning - Financial Planning Association ~ Diploma of Financial Services, Financial Planning - Deakin University ~ Life Risk Specialist, Personal Risk Management - Financial Planning Association |
| Stephen Buhlman | 2000 | Bachelor of Economics - University of Western Australia ~ Certified Financial Planner - FPA |