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 of 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 of 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 |
|---|---|---|
| Adam Lawrance | 2011 | 2012 - Bachelor of Commerce (Finance & Accounting) - - Australian National University ~ 2012 - Margin Lending Accreditation - - Stockbrokers Association of Australia ~ 2012 - Professional Diploma of Stockbroking - - Stockbrokers Association of Australia ~ 2013 - ADA Level 1 & 2 - - Kaplan ~ 2013 - Diploma of Financial Planning - - Kaplan ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Joseph Hoey | 0 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| Samuel Guy Colman | 2014 | 2012 - Bachelor of Commerce - - University of Canberra ~ 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |