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;
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:
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;
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 |
|---|---|---|
| Brooke Elizabeth Charity | 2023 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Commerce - University of Southern Queensland ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending Specialist - Kaplan Professional ~ SMSF Regulations and Taxation - Kaplan Professional |
| Dennis Sebastian DI Bartolo | 2001 | Certificate IV in Finance and Mortgage Broking - The National Finance Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ LRS Life Risk Specialist - Financial Planning Association of Australia ~ Master Of Financial Planning - University of the Sunshine Coast ~ Self Managed Super Fund Specialist Adviser - SMSF Professionals' Association of Australia |
| John Joseph Grasso | 2006 | ASX Accredited Listed Products Adviser - Kaplan Professional Education ~ Diploma of Financial Services (Financial Planning) - Tribeca Learning ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Master of Financial Planning - Kaplan Professional Education ~ Self Managed Super Fund Specialist Adviser - SMSF Professionals' Association of Australia |
| Mark Francis Tyrell | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Diploma of Finance and Mortgage Broking Management - FARSTA (Finance & Related Services Training Academy ~ Diploma of Financial Planning - Australian College of Professionals ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Nicole Deanne Mcgovern | 2014 | Bachelor of Business (Financial Planning) - RMIT ~ thics and Professionalism in Financial Advice - Kaplan Professional |
| Renita Danielle Waring | 0 | Bachelor of Business (Financial Planning) - RMIT ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Teaghan Faye Spackman | 2017 | Bachelor of Financial Planning - Central Queensland University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Tonia Louise Sanderson | 2000 | ASX Accredited Listed Products Adviser - Kaplan Professional Education ~ Accredited Aged Care Professional - Aged Care Steps ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Master of Financial Planning - Kaplan Professional ~ SMSF Specialist Advisor - SMSF Professionals Association of Australia |