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 |
|---|---|---|
| Alexander Douglas Maxwell Brown | 1998 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional |
| Asit Kumar Nayak | 2017 | Diploma of Financial Planning - Monarch Institute ~ Provide advice in Margin Lending - Monarch Institute ~ Provide advice in Self-Managed Superannuation Funds - Monarch Institute |
| Damian Reece Grimes | 1987 | Advanced Diploma of Financial Planning - Kaplan ~ Certificate - ASIC General Insurance Compliance - Australian New Zealand Institute of Insurance Finance ~ Certificate - Australian Mortgage Broking - Kaplan Professional ~ MFAA Initial Compliance Pack - Mortgage & Finance Association of Australia ~ Self Managed Superannuation Funds - Kaplan |
| Daniel John Williams | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional ~ Master of Business Administration - Maquarie University ~ Master of Business Administration - Maquarie University ~ Master of Management - Maquarie University ~ Master of Management - Maquarie University |
| Tracey Ann Smylie | 2012 | Diploma of Financial Services(Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |