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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| David Lansell Green | 2024 | 2011 - Bachelor of Finance (Honours) - Bachelor Honours Degree (AQF 8) - La Trobe University ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN ~ 2024 - SMSF Regulation and Taxation - Professional Designations - KAPLAN |
| Judy Ann Schmidt | 2002 | 1990 - Bachelor of Business - Bachelor Degree (AQF 7) - Victoria College ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2010 - Master of Financial Planning - Masters Degree (AQF 9) - University of the Sunshine Coast (USC) ~ 2017 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Kreston Dane Leggett | 2018 | 2014 - Bachelor of Business - Bachelor Degree (AQF 7) - La Trobe University ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2024 - SMSF Regulation and Taxation - Professional Designations - KAPLAN |
| Mathew James Ashton | 2004 | 2000 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University ~ 2003 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2004 - Self Managed Superannuation Funds - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - Charted Financial Analyst - Professional Designations - CFA Institute ~ 2010 - Margin Lending and Geared Investments - Diploma (AQF 5) - Kaplan Professional |
| Peter Wayne Leggett | 1983 | 1985 - Bachelor of Business - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 1996 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2010 - Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2010 - Master of Financial Planning - Masters Degree (AQF 9) - University of Sunshine Coast |
| Roderick J Runco | 1984 | 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Simon John Lewis | 2007 | 1997 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2000 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2007 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2010 - Margin Lending and Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - Advanced Diploma (AQF 6) - Kaplan Professional |