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;
interests in managed investment schemes limited to:
MDA 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;
interests in managed investment schemes limited to:
MDA 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 Scott Robertson | 2017 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Master of Applied Finance (Financial Planning) - Masters Degree (AQF 9) - Charles Sturt University |
| Carolyn Morrison | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional |
| Jonah Allen | 0 | 2022 - Bachelor of Business Finance - Bachelor Degree (AQF 7) - CSU ~ 2022 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan |
| Lindsay John Garnock | 2002 | 2003 - Diploma of Financial Advising - Diploma (AQF 5) - Securities Institute of Australia ~ 2004 - CFP Education Program - Professional Designations - Financial Planning Association of Australia (Deakin Uni) ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Timothy Young | 2007 | 1994 - Bachelor of Commerce in Banking and Finance - Bachelor Degree (AQF 7) - University of Canberra ~ 2008 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional Education ~ 2010 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) |