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;
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;
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 |
|---|---|---|
| Brent William Cerutti | 2004 | ASX Accredited Listed Products Adviser - Kaplan Professional Education ~ Advanced Diploma of Financial Services - Tribeca Learning ~ Bachelor of Management - James Cook University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Brent William Kelly | 1996 | Certificate IV in Finance and Mortgage Broking - Kaplan Professional Education ~ Certified Financial Planner - Deakin University ~ Diploma of Financial Planning - Deakin University |
| David Haydon | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Certified Financial Planner - Financial Advice Association ~ Diploma of Financial Services (Financial Planning) - Investment Banking Institute ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Deakin University |