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;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products limited to:
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;
securities;
standard margin lending facility; and
superannuation;
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:
derivatives;
life products limited to:
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;
securities; and
standard margin lending facility; 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;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products limited to:
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;
securities;
standard margin lending facility; and
superannuation;
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
schemes which only hold the following types of property:
derivatives;
financial assets; and
mortgages; and
IDPS-like schemes;
provide the following custodial or depository services:
operate investor directed portfolio services (each of which is referred to as the IDPS); and
operate custodial or depository services other than investor directed portfolio services; and
provide traditional trustee company services:
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Craig Barnes | 2011 | Bachelor of Business - Monash University ~ Bachelor of Business - Monash University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FASEA Exam - FASEA ~ FASEA Exam - FASEA ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia ~ Self Managed Superannuation Funds - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Craig Raymond Stubbs | 2003 | Bachelor of Economics - University of Sydney ~ Bachelor of Economics - University of Sydney ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Superannuation Management - Macquarie University ~ Diploma of Superannuation Management - Macquarie University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Jonathan Winfield | 2013 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Certified Financial Planner - Financial Planning Association ~ Certified Financial Planner - Financial Planning Association ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ FASEA Exam - FASEA ~ FASEA Exam - FASEA ~ Graduate Certificate in Business Administration - University of Technology Sydney ~ Graduate Certificate in Business Administration - University of Technology Sydney |
| Melissa Bradbury | 2012 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce - Murdoch University ~ Bachelor of Law - Murdoch University ~ Certified Financial Planner CFP - FPA ~ Self Managed Superannuation Funds - Kaplan Professional |
| Peter John Crowe | 1995 | Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Services (Financial Planning) - AMP Limited |
| Sandy Mei-ching Wong | 2010 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia ~ Professionalism and Ethics - Deakin University ~ Professionalism and Ethics - Deakin University ~ SMSF Specialist Advisor - SMSF Association ~ SMSF Specialist Advisor - SMSF Association |
| Steven Leung | 2002 | CFP - Financial Planning Association of Australia ~ CFP - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Financial Adviser Exam - FASEA ~ Financial Adviser Exam - FASEA ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ Graduate Diploma in Applied Finance and Investment - Securities Institute |