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; 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 limited to:
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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Benjamin Mark Douglass | 2015 | 2012 - Bachelor of Commerce - - The University of Notre Dame Australia ~ 2015 - Chartered Accountant - - Chartered Accountants Australia and New Zealand ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan |
| Bernadette Anne Attwood | 2018 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - ASFA ~ 2018 - Graduate Certificate in Financial Planning - - Kaplan ~ 2018 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Boyd Preston | 2024 | 2023 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin |
| Marcus Hargreaves | 2024 | 2024 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology |