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 |
|---|---|---|
| Adam Miliszewski | 2009 | Accredited Derivatives Adviser - Kaplan Australia ~ Advanced Diploma Financial Planning FNS60410 - Kaplan Australia ~ Bachelor of Commerce and International Business - Griffith University ~ Certified Financial Planner (CFP) - FPA ~ Diploma Financial Planning FNS50611 - Kaplan Australia |
| Nicholas John Duffy | 2023 | Bachelor of Business (Finance) / Bachelor of Laws (Honours) - Queensland University of Technology ~ Graduate Diploma of Financial Planning - Kaplan Higher Education |
| Ross Potter | 2009 | Advanced Diploma of Financial Planning - Kaplan Australia ~ Bachelor of Laws - University of Aberdeen ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning FNS50611 - Kaplan Australia ~ Master of Arts - University of Aberdeen |