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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 |
|---|---|---|
| Anthony Malcolm Cordi | 2006 | 2008 - Diploma of Financial Planning - - PS146 Training Australia ~ 2010 - Taxation Planning (ADFS1) - - RG146 Training Australia ~ 2012 - Estate Planning - - RG146 Training Australia ~ 2015 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2021 - FASEA - Other - FASEA |
| John Claessen | 1995 | 1997 - Graduate Diploma in Applied Finance and Investment - - Securities institute Education ~ 1998 - Graduate Diploma in Business - - Curtin University of Technology ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2016 - Self Managed Superannuation Funds - - Kaplan ~ 2021 - FASEA Exam - Other - FASEA |
| Kerry Louise Franklin | 2000 | 2001 - Risk Management and Insurance Planning - - FPA ~ 2003 - Superannuation and Retirement Planning - - Integratec ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2011 - Diploma of Financial Services ( Finance / Mortgage Broking Management) - - VRQA ~ 2021 - FASEA Exam - Other - FASEA |
| Michael James Wegener | 2012 | 2007 - Bachelor Of Business - - University of South Australia ~ 2012 - Diploma in Financial Planning - - Kaplan ~ 2013 - Self-Managed Supoerannuation Course - - Kaplan |
| Michael O'hara | 1982 | 1999 - Diploma Financial Planning (DFP1-DFP8) - - FPA ~ 2000 - Certified Financial Planner - - FPA ~ 2010 - Margin Lending and Geared Investments accreditation - - Kaplan ~ 2014 - ALPA - - Kaplan ~ 2021 - FASEA Exam - Other - FASEA |
| Norma Louise Falconer | 2016 | 2008 - Certified Financial Planner - - Financial Planning Institute of South Africa ~ 2017 - Diploma of Financial Planning - - Monarch Institute ~ 2019 - Accredited Listed Product Adviser Program - Certificate (AQF 1-4) - Kaplan ~ 2020 - FASEA Exam - Other - FASEA ~ 2021 - Ethics for Financial Services (Intensive) - Bridging Course - Ethics - Deakin University |
| Simon Jeffrey Tomkinson | 1996 | 2000 - CFP - - FPA ~ 2000 - DFP 1-8 - - FPA ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2021 - FASEA Exam - Other - FASEA |