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;
derivatives limited to:
old law securities options contracts and warrants;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives limited to:
old law securities options contracts and warrants;
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 limited to:
old law securities options contracts and warrants;
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
underwriting:
interests in managed investment schemes; and
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alan Charles Murray | 2004 | 2005 - SMSF - - Tribecca ~ 2019 - Advance Diploma of Financial Planning - - International Institute of Technology |
| Anthony Ronald Bennett | 2002 | 1990 - Diploma of Financial Planning - - Deakin University ~ 2011 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - AAMC Training Group |
| Jasmine Bartel | 2018 | 2009 - Bachelor of Business (ACCTING) - - Southern Cross University ~ 2018 - RG146 Superannuation & Personal Advice Skill Set - - ASFA |
| Michael Stephen Akele | 1985 | 1995 - Certified Financial Planner - - FPA ~ 1996 - Diploma of Financial Planning - - RMIT |
| Peter William Finch | 2015 | 2004 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2019 - Certified Financial Planner - Professional Designations - FPA ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Rean John Kirby | 2002 | 2003 - Diploma of Financial Planning - - Deakin University |
| Ryan Peter Melrose | 2015 | 2012 - Bachelor of Business & Commerce - - University of Western Sydney ~ 2014 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2014 - Diploma of Financial Planning - - Monarch Institute |
| Warren Anthony Chalker | 2000 | 1985 - Bachelor of Commerce - - UNSW ~ 1987 - Chartered Accountant - - CA ~ 2000 - Diploma Financial Planning - - CA |