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 |
|---|---|---|
| Alexander Hicks | 2011 | 2000 - Bachelor of Commerce - Bachelor Honours Degree (AQF 8) - University of Cape Town ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2025 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Joanna Tapina Wihongi | 2013 | 2008 - Diploma of Financial Services - Diploma (AQF 5) - Kaplan Professional ~ 2011 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Justine Kitto | 1991 | 2002 - Diploma Of Financial Planning - - Deakin University ~ 2003 - Certified Financial Planner - - Financial Planning Association |
| Mark Andrew Mcshane | 2018 | 1997 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Newcastle ~ 1998 - Financial Planning Certificate - Certificate (AQF 1-4) - Independent Centre of Financial Planning ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2002 - Certified Financial Planner - Professional Designations - The Financial Advice Association Australia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2025 - Commercial Law - Certificate (AQF 1-4) - Kaplan Professional ~ 2025 - Tax for Financial Advising - Certificate (AQF 1-4) - Kaplan Professional |
| Michael Alexander Price | 2016 | 1997 - Bachelor of Business (Finance/Marketing) - - Charles Sturt University ~ 2011 - Graduate Certificate in Management - - Macquarie Graduate School of Management ~ 2013 - Diploma of Financial Services - - Kaplan ~ 2017 - Advanced Diploma Financial Services (Financial Planning) - - Kaplan |