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;
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:
interests in managed investment schemes limited to:
MDA services; 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;
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Christopher Thomas Rae | 2009 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Education ~ 2011 - SMSF Specialist Advisor - - SMSF Professionals' Association of Australia ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| David Anthony O'hara | 2009 | 1999 - Diploma of Financial Planning - - FPA ~ 2007 - Master of Applied Finance - - University of Western Sydney ~ 2008 - Self Managed Superannuation Funds - - Kaplan |
| Gregory John Barter | 2001 | 1993 - Bachelor of Science (Physics & Applied Mathematics) - - The University of Sydney ~ 2003 - Advanced Diploma of Financial Planning - - FPA ~ 2004 - CFP - - FPA ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2021 - FASEA (Financial Adviser) Exam - Other - FASEA |
| Jessica Brizuela | 2010 | 2008 - Graduate Certificate in Financial Planning - - Finsia ~ 2009 - Mortgage Broking - - Kaplan ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2013 - Master of Applied Finance - - Kaplan ~ 2020 - FASEA (Financial Adviser) Exam - Other - FASEA |