This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Ann Louise Thompson | 2006 | 2007 - Diploma of Financial Services (Financial Planning - Diploma (AQF 5) - Kaplan Professional Education ~ 2013 - SMSF - Other - Kaplan ~ 2014 - ASX Listed Products Accredited Course - Other - LPAC Online ~ 2017 - Accredited Aged Care Professional - Other - Aged Care Seps ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education |
| Ashley Elsley | 2013 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2025 - Commercial Law - Other - Kaplan Professional ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Sharon Lee Ferguson | 2001 | 2004 - Diploma of Financial Planning - - Deakin University ~ 2005 - SMSF - - Financial Essentials ~ 2014 - Securities - Other - LPAC ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps ~ 2019 - FPC002B-Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |