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 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Education ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Ethics & Professionalism in Financial Advice - Kaplan ~ SMSF Specialist Advisor - SMSF Professionals' Association of Australia |
| David Anthony O'hara | 2009 | Diploma of Financial Planning - FPA ~ Master of Applied Finance - University of Western Sydney ~ Self Managed Superannuation Funds - Kaplan |
| Gregory John Barter | 2001 | Advanced Diploma of Financial Planning - FPA ~ Bachelor of Science (Physics & Applied Mathematics) - The University of Sydney ~ CFP - FPA ~ FASEA (Financial Adviser) Exam - FASEA ~ Margin Lending & Geared Investments - Kaplan |
| Jessica Brizuela | 2010 | FASEA (Financial Adviser) Exam - FASEA ~ Graduate Certificate in Financial Planning - Finsia ~ Margin Lending & Geared Investments - Kaplan ~ Master of Applied Finance - Kaplan ~ Mortgage Broking - Kaplan |
| Jonah Sukkar | 2021 | Bachelor of Commerce Professional Accounting - Macquarie University ~ Graduate Diploma of Financial Planning - Australian Catholic University |