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 |
|---|---|---|
| Alison Joy Smith | 2007 | 1992 - Bachelor of Commerce in Accounting - - University of Canberra ~ 1998 - Chartered Accountant - - Institute of Chartered Accountants ~ 2004 - Graduate Diploma in Company Secretarial Practice - - Chartered Secretaries Australia ~ 2007 - Diploma in Financial Services (Financial Planning) - - Tribeca ~ 2015 - Certified Financial Planner - - Financial Planning Association |
| Grace Edith Murphy | 2018 | 2014 - Bachelor of Commerce (Accounting, Applied Finance, Professional Accounting) - - University of New England ~ 2018 - Master of Financial Services - Masters Degree (AQF 9) - University of New England ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Imogen Kate Roles | 0 | 2002 - Bachelor of Commerce in Banking and Finance - Bachelor Degree (AQF 7) - University of Canberra ~ 2005 - Professional Accounting - Graduate Certificate (AQF 8) - University of Canberra ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Michael John Radnedge | 2004 | 2002 - Bachelor of Commerce in Banking & Finance - - University of Canberra ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2015 - Self Managed Superannuation Funds - - International Institute of Technology |
| Sean Thomas Hammond | 2006 | 1987 - Bachelor of Commerce - - ANU ~ 1991 - Chartered Accountant - - Institute of Chartered Accountants ~ 2008 - Certified Financial Planner - - Financial Planning Association ~ 2012 - Chartered Tax Adviser - - Tax Institute of Australia ~ 2013 - Graduate of AICD - - Australian Institute of Company Directors |
| Timothy Peter Webb | 2010 | 2003 - Bachelor of Commerce (Accounting) - - ANU ~ 2003 - Bachelor of Science (Environmental Management) - - ANU ~ 2006 - Adv Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2015 - Certified Financial Planner - - Financial Planning Association |