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;
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:
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;
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 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Margin Lending and Geared Investments - Kaplan ~ Master of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Anthony John Zaman | 2021 | Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan ~ SMSF Specialist Advisor - SMSF Association |
| Julian Coleman | 2007 | Advanced Diploma - Financial Planning - Kaplan ~ Diploma - Financial Planning - Kaplan ~ Diploma - Financial Planning - Training Australia ~ Graduate Diploma - Financial Planning - Kaplan |
| Nithin Mathew Thomas | 2010 | Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Business Administration - University of Technology Sydney (UTS) ~ RG146 Margin Lending - Financial Education Professionals ~ RG146 Self-Managed Superannuation Fund - Financial Education Professionals ~ Tier 1 Derivatives - Personal Advice - Kaplan Professional |
| Robert Stewart Watson | 2007 | Accredited Listed Product Adviser Program (ALPA) - Kaplan Professional ~ Bachelor of Business (Hospitality Management) - University of Western Sydney ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds accreditation - Kaplan Professional |
| Samantha Jane Obeney | 2009 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Diploma of Financial Planning - Kaplan Professional Education ~ Graduate Diploma of Financial Planning - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |