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 |
|---|---|---|
| Annabelle Kate Sterling Peters | 2018 | 2016 - Diploma of Business - - Careers Australia ~ 2018 - BSB111.4 Business and Ethics - Other - QUT ~ 2018 - Diploma of Financial Planning - - Kaplan ~ 2019 - EFB210.2 Finance 1 - Other - QUT ~ 2021 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - QUT ~ 2021 - Bachelor of Science (Environmental Science) - Bachelor Degree (AQF 7) - QUT ~ 2023 - AYN457.1 Financial Planning Principles and Regulation - Bridging Course - Regulation & Legal Obligations - QUT ~ 2023 - AYN458.1 Ethics and Professional Relationships - Bridging Course - Ethics - QUT ~ 2024 - EFN429.1 Investments Management - Other - QUT ~ 2024 - EFN520.2 Behavioural Client Management - Financial Planning - Bridging Course - Behavioural Finance - QUT |
| Bianca Kaye Ford | 2018 | 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Helen Baker | 2009 | 1996 - Bachelor of Commerce (Accounting & Finance) - Bachelor Degree (AQF 7) - Griffith University ~ 2007 - Master of Management (Innovation & Change) - Masters Degree (AQF 9) - Griffith University ~ 2009 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Mentor Education Group ~ 2011 - Advanced Diploma Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Australia |
| Robert Chester | 2015 | 2007 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2010 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2014 - RG146 928S Margin Lending (928SML) - Diploma (AQF 5) - Kaplan Australia |
| Robert John Berens | 2001 | 2001 - Foundation Diploma Financial Planning (DFP1-4) - Diploma (AQF 5) - Financial Planning Association (FPA) ~ 2003 - Advanced Diploma Financial Services (Financial Planning) FNB60402 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2007 - Master of Financial Planning - Masters Degree (AQF 9) - University of Sunshine Coast ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Simon Gabbie | 2002 | 2005 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2011 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |