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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
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
financial products limited to:
miscellaneous financial investment products 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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Antony Jon Whipp | 2004 | 2004 - B Business - - Charles Sturt University ~ 2005 - SMSF Adviser - - The Strategist Group ~ 2007 - SMSF - - Kaplan ~ 2015 - Certified Financial Planner - - Financial Planning Association ~ 2021 - FASEA (Financial Adviser) Exam - Other - FASEA |
| Bailey Whitaker Engel | 2021 | 2019 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Newcastle ~ 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Lee Anthony Clarke | 1991 | 2002 - CFP - - Deakin University |
| Matthew Joel Bacon | 2009 | 2000 - CFP - - Deakin University |
| Mona Moorjani | 2013 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - International Institute of Technology ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional Education ~ 2021 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Richard Algis Navakas | 1985 | 1993 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) |
| Robert John Purcell | 1987 | 1975 - Bachelor of Commerce - - University of Newcastle ~ 1978 - Qualified Chartered Accountant - - Institute of Chartered Accountants in Australia ~ 1990 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia ~ 1990 - Diploma of Financial Planning - - Deakin University ~ 2010 - Estate Planning 6 Day Course - - University of Technology Sydney |
| Thomas Montgomery Moore | 2012 | 2012 - Bachelor of Business and Bachelor of Commerce - - Newcastle University ~ 2017 - Graduate Diploma of Financial Planning - - Kaplan ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |