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; 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alexander Bruce Cook | 1998 | 1997 - Bachelor of Commerce in Marketing - - The University of New South Wales ~ 1999 - Applied Finance and Investment - - Securities Institute ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2010 - Professional Certificate in Self-Managed Superannuation Funds - - The University of Adelaide |
| Julian Russell | 2007 | 2006 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2009 - Master of Business Administration - - University of New South Wales (NSW) ~ 2010 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Traineeship Management Australia (TMA) |
| Justin Pagotto | 2003 | 1997 - Bachelor of Commerce - - University of New South Wales ~ 2003 - Count Wealth Accountants Introductory Training - - Count Wealth ~ 2010 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - Margin Lending and Geared Investments - - Kaplan ~ 2014 - Taxation Fundamentals - - Kaplan |
| Matthew David Garrett | 2000 | 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan |
| Scott Anthony Everingham | 2000 | 2008 - Certified Financial Planner - Professional Designations - FPA ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |