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 | Bachelor of Science - Mathematics with Business Management - Northumbria University ~ Diploma of Financial Planning - Mentor Education ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending - Kaplan ~ SMSF Regulations and Taxation - Kaplan |
| Anita Isabella Hofer | 2003 | Certified Financial Planner - FPA ~ Diploma of Financial Planning (DFP1 - DFP8) - FPA |
| Charles Picton Fraser | 2005 | Advanced Diploma of Financial Services (Financial Planning) - ThreeSixty ~ Bachelor of Business Studies - Massey University ~ Diploma of Financial Services (Financial Planning) - ThreeSixty ~ Master of Business Administration - Herlot-Watt University (Edinburgh Business School) ~ Self Managed Superannuation Funds - Tribeca |
| Christopher Gunther | 2002 | Diploma of Financial Services (Financial Planning) - Mentor ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Tier 1 Margin Lending - Personal Advice - Kaplan |
| Craig Anthony Slaughter | 2014 | Bachelor of Education - QUT ~ Bachelor of Health Science (Health Services Management) - QUT ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Dino Barone | 2018 | Bachelor of Commerce (Finance, Financial Planning) - Griffith University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Simon James Backman | 2008 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business/Bachelor of Commerce - Griffith University ~ Bachleor Health Science - Griffith University ~ Self Managed Superannuation Funds - Kaplan ~ Tier 1 Margin Lending - Personal Advice - Kaplan |
| Simon Patrick Scallan | 2004 | Bachelor of Commerce (Information Management) - Oxford Brookes University ~ Graduate Diploma of Financial Planning - FINSIA Education (Kaplan Professional) ~ Margin Lending & Geared Investments - Kaplan Professional |