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 | Bachelor of Business (Accounting) - Queensland University of Technology (QUT) ~ Bachelor of Laws - Queensland University of Technology (QUT) ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Graduate Diploma (ICAA) - Chartered Accountants Australia & New Zealand |
| Jay Murphy | 2014 | Bachelor of Business - Griffith University ~ Diploma of Financial Planning - RG146 Mentor Education Group ~ Graduate Diploma (ICAA) - Chartered Accountants Australia & New Zealand ~ Master of Applied Tax - University of New South Wales (NSW) ~ Professional Diploma in Stockbroking - DeakinPrime |
| Jill Marguerite James | 2018 | Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Monarch Institute |
| John Francis Sullivan | 2005 | Bachelor of Business (Accounting) - Queensland University of Technology (QUT) ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ FINS5537 Financial Planning Advice and Ethics - The University of New South Wales ~ Master of Taxation in Taxation and Financial Planning with Excellence - The University of New South Wales ~ Professional Diploma in Stockbroking - DeakinPrime |
| John Kazakoff | 2004 | Bachelor of Commerce - University of Queensland ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ Graduate Diploma in Financial Planning - Securities Institute |
| Travis Laurence Vincent Smith | 2018 | Bachelor of Commerce - University of Southern Queensland ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Higher Education Pty Ltd |