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 | Bachelor of Commerce - Macquarie University ~ Diploma of Financial Planning - Kaplan Professional ~ Master of Applied Finance (Financial Planning) - Charles Sturt University |
| Carolyn Morrison | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Graham Cotter | 2011 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Services (Financial Planning) - Charles Sturt University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Applied Finance - Charles Sturt University |
| Jonah Allen | 0 | Bachelor of Business Finance - CSU ~ Self Managed Superannuation Funds - Kaplan |
| Lindsay John Garnock | 2002 | CFP Education Program - Financial Planning Association of Australia (Deakin Uni) ~ Diploma of Financial Advising - Securities Institute of Australia ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Sarah Emily Burgess | 2007 | Bachelor of Business (Accounting) - Charles Sturt University ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ SMSF & Superannuation - Financial Education Professionals |
| Timothy Young | 2007 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce in Banking and Finance - University of Canberra ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education |