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);
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron Walters | 2016 | Bachelor of Business Major in Finance and Accounting - Edith Cowan University ~ Graduate Diploma of Financial Planning - Kaplan |
| Brendon Charles Cox | 1994 | Certified Financial Planner Status (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Margin Lending - MLC ThreeSixty |
| Davone Saycocie | 2018 | Diploma of Financial Services - Financial Education Professionals |
| Jack Robert Raymond | 0 | Bachelor of Commerce (Banking and Finance) - Curtin University of Technology ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Joshua Tahoe Carlton Schriver | 2018 | Bachelor of Commerce (Economics & Finance) - The University of Western Australia ~ Diploma of Financial Planning - Monarch Institute |
| Luke Elden Smith | 2010 | Bachelor of Business (Finance) - Edith Cowan University ~ Diploma of Financial Services (Financial Planning) - PS146 Training Australia ~ Margin Lending & Geared Investments - Kaplan Education Pty Ltd ~ Master of Applied Finance - Kaplan ~ Self Managed Superannuation Funds - Kaplan Education Pty Ltd |
| Nathan Bradley Greene | 2008 | ASX Securities Exemption - Professional Investment Services ~ Advanced Diploma of Financial Services (FP) - KAPLAN ~ Bachelor of Business - Edith Cowan University ~ Margin Lending - Kaplan ~ Self Managed Super Fund Course - Kaplan |
| Richard Hinch | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Arts (Honours) - University of Portsmouth ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Self-Managed Superannuation Funds - Kaplan Professional ~ Tier 1 Compliance Solution - Margin Lending - Kaplan Professional |