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;
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;
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 |
|---|---|---|
| Anthony Bazzana | 2012 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Bachelor of Business - Southern Cross University ~ Diploma of Financial Planning - International Institute of Technology ~ Principles In Self Managed Superannuation Funds - International Institute of Technology ~ Specialist Margin Lending accreditation - International Institute of Technology |
| Emma Walsh | 2008 | Accredited Aged Care Professional - Aged Care Steps ~ Accredited Listed Product Adviser Program - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Limited ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Principles of Self Managed Superannuation Funds - International Institute of Technology |
| Jeramia James Reading | 2017 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ Principles of Self Managed Superannuation Funds - International Institute of Technology |
| Katie Leigh Mckenna | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Certificate IV in Financial Planning - Tribeca ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Kent Paroz | 2010 | Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy Pty Ltd ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy Pty Ltd ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Robert Bruce Franklin | 2010 | Bachelor of Economics - University of New England ~ Diploma of Finance and Mortgage Broking Management - Kaplan ~ Margin Lending Tier 1 - Deakin Prime Corporate Education ~ Master of Personal Financial Planning - The University of Southern Queensland ~ SMSF Retirement Essentials - The University of Adelaide |
| Robyn Aideen Patch | 2012 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Bachelor of Commerce (Financial Planning and Accounting) - Griffith University ~ Certified Financial Planner - Financial Planning Association ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Principles in Self Managed Superannuation Funds - International Institute of Technology |
| Steven Irwin Trustum | 2018 | Bachelor of Business - Southern Cross University ~ Certificate of Public Practice - The Institute of Chartered Accountants in Australia ~ Diploma of Financial Planning - International Institute of Technology ~ Principles in Self Managed Superannuation Funds - International Institute of Technology ~ RG146 Tier 1 Specialist Margin Lending Course - International Institute of Technology |
| Steven John Kirkman | 1997 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Certified Financial Planner - Financial Planning Association of Australia (FPA) ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Tribeca |