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 |
|---|---|---|
| Jeremy Cook | 2013 | 2012 - Diploma of Financial Services - - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Services - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Luke James Buttersfield | 2001 | 2004 - Advanced Diploma of Financial Planning - - Three Sixty ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2018 - Fellow Chartered Financial Practitioner - - Association of Financial Advisers ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Self Managed Superannuation Funds - Other - Kaplan |
| Matthew Christopher Yates | 2011 | 2011 - Bachelor of Commerce (Financial Planning and Economics) - - Curtin University of Technology ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - Self Managed Superannuation Funds - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Phil John Alvaro | 2005 | 1999 - Bachelor of Business - - Edith Cowan University ~ 2006 - Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Education Pty Ltd ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2010 - Self Managed Superannuation Funds - - Kaplan |