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 |
|---|---|---|
| Andrew Mark Bolingbroke | 1999 | Diploma of Financial Planning - Deakin University |
| Damien Thomas Quirk | 2007 | Master of Financial Planning - Griffith University |
| Gary Darren Hasler | 1992 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Jodi Deborah Escudier | 2013 | Advanced Diploma of Financial Planning - Integrity Education Group ~ Diploma of Financial Planning - Integrity Education Group ~ SMSF REgulations & Taxation - Kaplan Professional |
| Karen Ashleigh Haarhoff | 2004 | Bachelor of Commerce - RAU ~ Ethics & Professional in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Post Grad. Dip Financial Planning - UFS ~ Superannuation & Retirement Advice - Kaplan |
| Kimberley Edward Bailey | 1984 | Bachelor of Business - Western Australian Institute of Technology (WAIT) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Neil Kingsley Cocker | 1993 | Diploma of Financial Planning - Deakin University |
| Sean Daniel Hocking | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - The University of Western Australia ~ Diploma of Financial Planning - Kaplan Professional ~ SAFAA ML - Margin Lending - Western Sydney University ~ Self Managed Super Funds - Kaplan Professional |