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;
derivatives;
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;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
interests in managed investment schemes excluding investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
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;
derivatives;
general insurance 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;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Brendon John Alford | 2010 | Bachelor of Business - QUT ~ Bachelor of Business - QUT ~ Graduate Diploma of Chartered Accounting - The Institute Of Chartered Accountants in Australia ~ Graduate Diploma of Chartered Accounting - The Institute Of Chartered Accountants in Australia ~ Graduate Diploma of Financial Planning - Finsia ~ Graduate Diploma of Financial Planning - Finsia ~ PS 146 Accreditation - Deakin University ~ PS 146 Accreditation - Deakin University |
| Damien Fon Leong | 2006 | Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan Professional ~ Bachelor of Arts with Majors in Economics and International Relations - The University of Queensland ~ Bachelor of Arts with Majors in Economics and International Relations - The University of Queensland ~ Certified Financial Planner (CFP) Certification Program - Financial Planning Association of Australia ~ Certified Financial Planner (CFP) Certification Program - Financial Planning Association of Australia |
| Felicity White | 2018 | Bachelor of Business (Accounting) - Queensland University of Technology ~ Bachelor of Business (Accounting) - Queensland University of Technology ~ Bachelor of Business (Accounting) - Queensland University of Technology ~ SMSF Accreditation - Kaplan ~ SMSF Accreditation - Kaplan ~ SMSF Accreditation - Kaplan |
| Kieran Doyle Ramsey | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business Management - University of Queensland ~ Bachelor of Business Management - University of Queensland |
| Leigh Smith | 2015 | Bachelor of Commerce - Griffith University ~ Bachelor of Commerce - Griffith University ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide ~ Certified Practicing Accountants - CPA Australia ~ Certified Practicing Accountants - CPA Australia ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia (Deakin) ~ Margin Lending Accreditation Program - Stockbrokers Association of Australia (Deakin) ~ Master of Business - University of Southern Queensland ~ Master of Business - University of Southern Queensland |
| Rebecca Joan Stacey | 2004 | Bachelor of Commerce - University of Queensland ~ Bachelor of Commerce - University of Queensland ~ Managed Investments - Integratec Training Pty Ltd ~ Managed Investments - Integratec Training Pty Ltd ~ Personal Financial Planning & Superannuation - CPA Australia ~ Personal Financial Planning & Superannuation - CPA Australia ~ Securities and Derivatives - RMIT University ~ Securities and Derivatives - RMIT University ~ Securitor Self Managed Superannuation Strategy Training Programs - Workshops 1 & 2 - efinancial essentials ~ Securitor Self Managed Superannuation Strategy Training Programs - Workshops 1 & 2 - efinancial essentials |