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;
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;
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 |
|---|---|---|
| Daniel Paul Cohen | 2013 | 2012 - Bachelor of Financial Advising - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2015 - Certified Financial Planner - Professional Designations - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Other - Kaplan |
| Gillian Witham | 2017 | 2017 - Aged Care Professional - - Aged Care Steps ~ 2017 - Graduate Diploma in Finance - - Charles Sturt University ~ 2017 - Securities and Managed Funds - - Kaplan ~ 2019 - Master of Applied Finance (Financial Planning) - Masters Degree (AQF 9) - Charles Sturt |
| Jason Petersen | 2005 | 1998 - BA Hons Management & Information Systems - - UNSW ~ 2005 - Grad Dipl Financial Planning - - Securities Institute Australia ~ 2006 - Self Managed Super Funds - - Kaplan ~ 2009 - Certified Financial Planner - - Financial Planning Association ~ 2010 - Estate Planning - - UTS |
| Kay Elizabeth Murray | 2008 | 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - KAPLAN ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Rodney Gardner | 1998 | 1996 - Business Administration - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2000 - Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2002 - CFP - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2017 - Tax (Financial) Adviser - Professional Designations - TPB ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |