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; 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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Edward Trajer | 2007 | 1990 - Bachelor of Economics - - University of Queensland ~ 1998 - Master of Science (Environmental Management) - - Griffith University ~ 2003 - Diploma of Financial Planning - - Deakin University ~ 2006 - Certificate - Self Managed Superannuation Funds - - Tribeca ~ 2011 - Certificate - Margin Lending & Geared Investments - - Kaplan |
| Christopher John Murphy | 2007 | 2006 - Bachelor of Commerce (Honours) - - Deakin University ~ 2009 - ASX ADA Renewal - - Kaplan ~ 2012 - Certificate IV in Accounting - - AIFA ~ 2015 - LRS - Life Risk Specialist - - Financial Planning Association of Australia ~ 2017 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| James Horsley | 2017 | 2013 - Bachelor of Economics with Major in International Trade and Finance - - University of Queensland ~ 2016 - Diploma of Financial Planning - - Pinnacle ~ 2021 - Certified Financial Planner CFP - Professional Designations - FAAA |
| Neil Robert Heriot | 1989 | 1993 - CERTIFIED FINANCIAL PLANNER - - FPA ~ 1993 - Diploma of Financial Planning - - FPA ~ 2010 - Self Managed Super Funds - - Kaplan ~ 2011 - Margin Lending and Geared Investments - - Kaplan |
| Rodney James Hayes | 2000 | 1986 - Bachelor of Commerce - - University of Queensland ~ 1990 - Chartered Accountant - - The Institute of Chartered Accountants in Australia ~ 2002 - PS146 - - Integratec |