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;
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;
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;
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;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Dale Chauke | 2018 | 2012 - Bachelor of Commerce in Internal Auditing - Bachelor Degree (AQF 7) - University of Pretoria ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology (IIT) ~ 2021 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional ~ 2022 - SMSF Specialist - Other - University of Adelaide |
| David Jon Jennings | 2001 | 2005 - Diploma of Financial Planning - - Deakin University ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2011 - ASX Listed Products Accreditation Course - - LPAC Online ~ 2013 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - Tax (financial) Adviser - - Tax Practitioners Board |
| Jake Mcloughlin | 2018 | 2017 - Bachelor of Commerce - - Deakin University |
| Joel Matthews | 2009 | 2001 - Diploma of Business Programming - Diploma (AQF 5) - Spherion Education ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - TASA and the TPB Code of Professional Conduct - Certificate (AQF 1-4) - Kaplan Professional ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| John P Mcloughlin | 1981 | 1997 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2002 - Diploma of Financial Planning - - Deakin University |
| Noel Robert Marshall | 1980 | 2004 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2010 - ADFS 1 Taxation Planning - - Mentor Education Group ~ 2010 - ADFS 3 Advanced Investment Planning - - Mentor Education Group ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2011 - ADFS 2 Estate Planning - - Kaplan |
| Scott Albert Brouwer | 1992 | 1992 - Associate Diploma of Business (Accounting) - - TAFE Box Hill ~ 1997 - Diploma of Financial Planning - - Deakin University ~ 1998 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2011 - ASX Listed Products Accreditation Course - - LPAC Online ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| York AU | 2008 | 2002 - Bachelor of Commerce (Honours) - Bachelor Honours Degree (AQF 8) - University of Melbourne ~ 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2006 - Certified Financial Panner (CFP) Certification - Professional Designations - Financial Planning Association of Australian (FPA) ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional Education ~ 2011 - Self Managed Superannuation Funds - Other - Kaplan Professional Education |