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 |
|---|---|---|
| Broderick James Knowles | 2003 | 2003 - Diploma of Financial Planning - - Deakin University ~ 2007 - Masters of Accounting - - Macquarie University - Sydney ~ 2011 - Certified Financial Planner - - Financial Planning Association ~ 2011 - Certified Practicing Accountant - - CPA Australia ~ 2011 - Financial Planning Specialist - - CPA Australia ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Michael Philip Baldry | 2021 | 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Susan Alma Louise Pine | 1999 | 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2004 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2005 - Justice of the Peace - - Justice and Attorney General Department ~ 2014 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional Education |
| Suzanne Jane Haddan | 1987 | 1994 - Bachelor of Business Majoring in Accounting - - University of Technology - Sydney ~ 1997 - Fellow of Certified Practicing Accountant - - CPA Australia ~ 1998 - CPA Public Practioner - - CPA Australia ~ 1998 - Certified Financial Planner - - Financial Planning Association of Australia ~ 1999 - Financial Planning Specialist - - CPA Australia ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |