This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients only in respect of the following classes of financial products:
derivatives restricted to derivatives utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences or fluctuations, in or in the value of, receipts or costs (including prices and interest rates);
foreign exchange contracts restricted to foreign exchange contracts utilised for the management of financial risk (hedging) which only have the purposes of:
management or mitigation of the financial consequences of particular circumstances happening; or
avoiding or limiting the financial consequences of fluctuations in the rate of exchange of foreign currency;
interests in managed investment schemes excluding investor directed portfolio services; and
securities; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients in respect of the following classes of products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
foreign exchange contracts;
general insurance 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
provide the following custodial or depository services to wholesale clients only:
operate custodial or depository services other than investor directed portfolio services;
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Phillip Cochrane | 2017 | 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2021 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan |
| Ashley Honeyman | 1996 | 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2005 - Self Managed Superannuation Fund (SMSF 1: Core Principles) - - Tribeca Learning ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2017 - Accredited Listed Product Adviser Program - - Kaplan Professional Education |
| Heath Francis Shonhan | 2018 | 1996 - Bachelor of Business - - QUT ~ 2000 - Graduate Diploma of Chartered Accounting - - CAANZ ~ 2016 - Diploma of Financial Planning - - Terra Cordis Pty Ltd ~ 2016 - Specialist SMSF Course - - Now Infinity |
| Jodi Lee Lupton | 2016 | 1999 - Bachelor of Commerce - - University of Southern Queensland ~ 2002 - Chartered Accountant - - ICAA ~ 2012 - CA SMSF Specialist - - ICAA ~ 2016 - RG146 - - UNSW ~ 2019 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group |
| Kate Renae Tanner | 2018 | 2014 - Bachelor of Business (Acc) - - QUT ~ 2017 - Chartered Accountant - - CAANZ ~ 2018 - Accountants Essential Advice Program - - Integrity Education Group |
| Mikaela Mary Holmes | 2007 | 2004 - B Com/B Econ - Bachelor Degree (AQF 7) - The University of Queensland ~ 2008 - Graduate Diploma of Financial Planning - - Kaplan ~ 2010 - Level 3 Certificate in Financial Planning - - CII UK ~ 2020 - CFP - Other - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |