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 |
|---|---|---|
| Christopher Bruce Allan | 1998 | 2003 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2007 - Financial Plan Construction & Review - - TRIBECA ~ 2007 - Master of Financial Planning - - Royal Melbourne Institute of Technology (RMIT) ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2014 - Accredited Listed Product Adviser - - Kaplan |
| Max Hogan | 2015 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2022 - Margin Lending Specialist - Other - Kaplan Professional ~ 2023 - FPC008 - Investment Advice - Other - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| TY Peter Jackson | 2023 | 2015 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2018 - Self Managed Superannuation Fund Adviser (Personal Advice) - Certificate (AQF 1-4) - Mentor educations ~ 2020 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2021 - Margin Lending Specialist - Certificate (AQF 1-4) - Kaplan Professional |