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;
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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; 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;
deposit products other than 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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Grinsell | 2009 | 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - Self Managed Superannuation Funds - - Kaplan ~ 2017 - Master of Financial Planning - - Kaplan |
| Anthony John Zaman | 2021 | 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2021 - SMSF Specialist Advisor - Professional Designations - SMSF Association |
| Julian Coleman | 2007 | 2000 - Diploma - Financial Planning - - Training Australia ~ 2014 - Diploma - Financial Planning - - Kaplan ~ 2016 - Advanced Diploma - Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2022 - Graduate Diploma - Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Nithin Mathew Thomas | 2010 | 2010 - Master of Business Administration - - University of Technology Sydney (UTS) ~ 2016 - RG146 Margin Lending - - Financial Education Professionals ~ 2016 - RG146 Self-Managed Superannuation Fund - - Financial Education Professionals ~ 2018 - Tier 1 Derivatives - Personal Advice - - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Robert Stewart Watson | 2007 | 2005 - Bachelor of Business (Hospitality Management) - - University of Western Sydney ~ 2011 - Graduate Diploma of Financial Planning - - Kaplan Professional ~ 2014 - Accredited Listed Product Adviser Program (ALPA) - - Kaplan Professional ~ 2015 - Self Managed Superannuation Funds accreditation - - Kaplan Professional ~ 2016 - Master of Financial Planning - - Kaplan Professional |
| Samantha Jane Obeney | 2009 | 2011 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |