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;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
own managed investment scheme only; and
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;
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:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Phillip Cochrane | 2017 | Diploma of Financial Planning - Kaplan Professional ~ Graduate Certificate in Financial Planning - Kaplan |
| Ashley Honeyman | 1996 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Fund (SMSF 1: Core Principles) - Tribeca Learning |
| Heath Francis Shonhan | 2018 | Bachelor of Business - QUT ~ Diploma of Financial Planning - Terra Cordis Pty Ltd ~ Graduate Diploma of Chartered Accounting - CAANZ ~ Specialist SMSF Course - Now Infinity |
| Jodi Lee Lupton | 2016 | Bachelor of Commerce - University of Southern Queensland ~ CA SMSF Specialist - ICAA ~ Chartered Accountant - ICAA ~ Diploma of Financial Planning - Integrity Education Group ~ RG146 - UNSW |
| Kate Renae Tanner | 2018 | Accountants Essential Advice Program - Integrity Education Group ~ Bachelor of Business (Acc) - QUT ~ Chartered Accountant - CAANZ |
| Mikaela Mary Holmes | 2007 | B Com/B Econ - The University of Queensland ~ CFP - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan ~ Level 3 Certificate in Financial Planning - CII UK |