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;
foreign exchange contracts;
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; 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;
foreign exchange contracts;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Charlotte Louise Evrard | 2018 | 2015 - Diploma in Regulated Financial Planning - - The Chartered Insurance Institute (UK) ~ 2017 - Advanced Diploma in Financial Planning - Advanced Diploma (AQF 6) - The Chartered Insurance Institute (UK) ~ 2017 - Diploma in Financial Planning - - The Chartered Insurance Institute (UK) ~ 2018 - Diploma of Financial Planning - - Monarch Institute ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Daniel Michael Ash-wentworth | 2018 | 2015 - Bachelor of Art (Business Management) - Bachelor Degree (AQF 7) - University of Gloucestershire UK ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional Education ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2019 - Commercial Law and Tax for Financial Advising - Other - Kaplan Professional Education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |
| Gemma Spinks | 2014 | 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional Education ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |
| John Paul Vailes | 2018 | 2016 - CII Level 6 Advanced Diploma in Financial Planning - - The Chartered Insurance Institute ~ 2017 - Chartered Financial Planner - - The Chartered Insurance Institute ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2022 - Chartered Financial Analyst - Professional Designations - CFA Institute ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |
| John Wight Harrower | 2003 | 2007 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2014 - Advance Diploma Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Nicholas Bond | 2011 | 2015 - Self Managed Superannuation Funds - - Financial Education Professionals ~ 2017 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2017 - Stmt of Attainment - Commercial Law & Taxation - Diploma (AQF 5) - Monarch Institute ~ 2021 - Foreign Exchange Accreditation Program - Other - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Rebecca Mary Elizabeth Watson | 2015 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional Education ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2019 - TASACLv2 Commercial Law - Certificate (AQF 1-4) - KAPLAN ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |
| Simon David Harvey | 2015 | 2014 - RG146 - - Mentor Education ~ 2015 - Self Managed Superannuation Funds - - Financial Education Professionals |