This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
margin lending facilities limited to standard facilities to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
margin lending facilities limited to standard facilities to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Robert Ian George Lawrence | 2015 | 2015 - Diploma of Financial Planning - - Kaplan ~ 2017 - Advance Diploma of Financial Planning - - Pinnacle ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Robyn Leanne Arnold | 2015 | 1999 - Certificate of Superannuation - Certificate (AQF 1-4) - ASFA (Macquarie University ~ 2002 - Entry Level Competencies, Super and Retirement Planning - Diploma (AQF 5) - Integratec ~ 2015 - Managed Investments and Securities Course - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education |
| Sarah Nulty | 2013 | 2014 - SMSF Specialist Course - - Kaplan ~ 2015 - Certificate IV Mortgage Broking - - AAMC ~ 2016 - Margin Lending accreditation - Other - Pinnacle Financial Services Academy ~ 2018 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2019 - Graduate Certificate in Applied Finance - - Kaplan ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |