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 |
|---|---|---|
| Andrew Thornton | 2024 | 2012 - Bachelor of Science - Mathematics with Business Management - Bachelor Degree (AQF 7) - Northumbria University ~ 2020 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - Margin Lending - Other - Kaplan ~ 2023 - SMSF Regulations and Taxation - Other - Kaplan |
| Anita Isabella Hofer | 2003 | 2001 - Diploma of Financial Planning (DFP1 - DFP8) - - FPA ~ 2002 - Certified Financial Planner - - FPA |
| Charles Picton Fraser | 2005 | 2000 - Bachelor of Business Studies - - Massey University ~ 2004 - Diploma of Financial Services (Financial Planning) - - ThreeSixty ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - ThreeSixty ~ 2007 - Self Managed Superannuation Funds - - Tribeca ~ 2014 - Master of Business Administration - - Herlot-Watt University (Edinburgh Business School) |
| Christopher Gunther | 2002 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor ~ 2020 - Tier 1 Margin Lending - Personal Advice - Diploma (AQF 5) - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Craig Anthony Slaughter | 2014 | 2001 - Bachelor of Health Science (Health Services Management) - - QUT ~ 2004 - Bachelor of Education - - QUT ~ 2013 - Diploma of Financial Planning - - Kaplan ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Dino Barone | 2018 | 2014 - Bachelor of Commerce (Finance, Financial Planning) - - Griffith University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Simon James Backman | 2008 | 2007 - Bachleor Health Science - - Griffith University ~ 2010 - Advanced Diploma of Financial Planning - - Kaplan ~ 2010 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan ~ 2012 - Tier 1 Margin Lending - Personal Advice - Diploma (AQF 5) - Kaplan ~ 2015 - Bachelor of Business/Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University |