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 |
|---|---|---|
| Kim Leann Klein | 2003 | 2003 - Advance Diploma of Financial Planning - - FPA - Deakin University ~ 2010 - Certified Financial Planner - - Financial Planning Association ~ 2011 - Cert IV Finance/Mortgage Broking - - Kaplan ~ 2013 - SMSF Specialist - - SMSF Training ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicholas James Girle | 2000 | 2004 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2007 - Master of Financial Planning - Masters Degree (AQF 9) - University of Sunshine Coast ~ 2011 - RG146 Provide Advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Richard Dean Brannelly | 2001 | 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Queensland University Technology ~ 2002 - Certified Practicing Accountant (CPA) - Professional Designations - CPA Australia ~ 2003 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |