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;
derivatives;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; and
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;
derivatives;
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 |
|---|---|---|
| Andre James Parker | 2005 | 2005 - Diploma of Financial Services (Financial Planning) - - Securities Institute of Australia ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Finsia ~ 2008 - Certified Financial Planner Course - - Financial Planning Association ~ 2013 - SPAA Specialist Member Accreditation Program - - SMSF Professionals Association of Australia ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Briony Knott | 2016 | 2005 - Bachelor of Commerce - - University of KwaZulu-Natal ~ 2016 - Masters in Financial Planning - - Kaplan ~ 2018 - Certified Financial Planning Course - - Financial Planning Association ~ 2018 - Self Managed Superannuation Funds - - Kaplan ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| John Charles Donald | 1992 | 2000 - Diploma of Financial Planning - - Deakin University ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Rebekah Hope Williams | 0 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2024 - SMSF Regulations & Taxation - Other - Kaplan Professional |