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 | 2000 - Diploma of Financial Planning - - Deakin University |
| Damien Thomas Quirk | 2007 | 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Gary Darren Hasler | 1992 | 1998 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Karen Ashleigh Haarhoff | 2004 | 1998 - Bachelor of Commerce - - RAU ~ 2004 - Post Grad. Dip Financial Planning - - UFS ~ 2019 - Ethics & Professional in Financial Advice - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Superannuation & Retirement Advice - Graduate Diploma (AQF 8) - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Kimberley Edward Bailey | 1984 | 1984 - Bachelor of Business - - Western Australian Institute of Technology (WAIT) ~ 1992 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Neil Kingsley Cocker | 1993 | 1998 - Diploma of Financial Planning - - Deakin University |
| Ryan Turner | 2011 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy Pty Ltd |
| Sean Daniel Hocking | 2018 | 2013 - Bachelor of Commerce - - The University of Western Australia ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - SAFAA ML - Margin Lending - - Western Sydney University ~ 2022 - Self Managed Super Funds - Other - Kaplan Professional |