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 |
|---|---|---|
| Brett Charles Roberts | 2008 | 2002 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Queensland University of Technology (QUT) ~ 2002 - Bachelor of Laws - Bachelor Honours Degree (AQF 8) - Queensland University of Technology (QUT) ~ 2007 - Graduate Diploma (ICAA) - Graduate Diploma (AQF 8) - Chartered Accountants Australia & New Zealand ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education Pty Ltd |
| Jay Murphy | 2014 | 2001 - Bachelor of Business - Bachelor Degree (AQF 7) - Griffith University ~ 2004 - Graduate Diploma (ICAA) - Graduate Diploma (AQF 8) - Chartered Accountants Australia & New Zealand ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - RG146 Mentor Education Group ~ 2014 - Master of Applied Tax - Masters Degree (AQF 9) - University of New South Wales (NSW) ~ 2015 - Professional Diploma in Stockbroking - Diploma (AQF 5) - DeakinPrime ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jill Marguerite James | 2018 | 2013 - Diploma of Financial Planning - - Monarch Institute ~ 2017 - Advanced Diploma of Financial Planning - - Monarch Institute |
| John Francis Sullivan | 2005 | 1999 - Bachelor of Business (Accounting) - - Queensland University of Technology (QUT) ~ 2006 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2011 - Professional Diploma in Stockbroking - - DeakinPrime ~ 2022 - FINS5537 Financial Planning Advice and Ethics - Bridging Course - Ethics - The University of New South Wales ~ 2022 - Master of Taxation in Taxation and Financial Planning with Excellence - Masters Degree (AQF 9) - The University of New South Wales |
| John Kazakoff | 2004 | 1997 - Bachelor of Commerce - - University of Queensland ~ 2002 - Graduate Diploma in Applied Finance and Investment - - Securities Institute ~ 2004 - Graduate Diploma in Financial Planning - - Securities Institute |
| Travis Laurence Vincent Smith | 2018 | 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |