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;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
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;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
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 |
|---|---|---|
| Adam Jordan Prentice | 2023 | 2018 - Bachelor of Economics and Arts - Bachelor Degree (AQF 7) - University of Sydney ~ 2020 - FASEA Exam - Other - FASEA ~ 2021 - Masters of Applied Finance - Masters Degree (AQF 9) - Charles Sturt University |
| Brett Anthony Evans | 2001 | 1995 - Bachelor of Commerce - - Bond University ~ 2010 - Professional Diploma of Stockbroking - - Deakin University ~ 2014 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Australia ~ 2020 - FASEA Exam - Other - FASEA |
| James Ridley | 2015 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - FASEA Exam - Other - FASEA |
| Martin Jack | 2023 | 2022 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2022 - FASEA Exam - Other - FASEA |
| Mitchell Kelsey | 2018 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2017 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2020 - FASEA Exam - Other - FASEA |