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);
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alan Freshwater | 2004 | ALPA - Kaplan ~ Bachelor of Business (Accounting) - The New South Wales Institute of Technology ~ CPA Program - CPA Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ SMSF - Kaplan |
| Anthony James Webb | 2004 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Finance and Mortgage Broking Management - AAMC Training Group |
| Daniel Morris Lemish | 2008 | Advanced Diploma Financial Planning FNS60415 - Kaplan Professional ~ Diploma - Financial Planning - Kaplan Professional ~ Finance & Mortgage Broking - Kaplan Professional |
| Daniel Paul Cohen | 2013 | Bachelor of Financial Advising - University of Western Sydney |
| David Tysoe | 2011 | Advanced Diploma of Financial Planning - Pinnacle ~ Bachelor of Business (Finance) - UTS ~ Diploma of Finance and Mortgage Broking Management - Kaplan ~ Diploma of Financial Planning - Pinnacle ~ SMSF Course - Pinnacle |
| James Francis Smith | 1993 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) |
| Matthew Carter | 2002 | Bachelor of Economics - University of New England ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma in Management - AGSM ~ SMSF - Kaplan |
| Nicholas James Perkins | 2001 | Advanced Diploma Financial Planning - AAMC Training Group ~ Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services (Finance/Mortgage Broking Management - The National Financial Institute ~ SMSF - Kaplan |
| Roderick John Dunn | 1989 | ALPA - Kaplan ~ Bachelor of Business (Banking and Finance) - Charles Sturt University ~ Certified Financial Planner - FPA ~ Diploma of Financial Advising - Securities Institute ~ SMSF Specialist Advisor - SPAA |
| Samantha Loveder | 2002 | Advanced Diploma Financial Services (Financial Planning) - Kaplan ~ Diploma of Finance & Mortgage Broking - Kaplan ~ Margin Lending and Geared Investments - Kaplan |