This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Garrett Peter Woods | 2018 | 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - TASA and the TPB Code of professional conduct - Other - Kaplan Professional ~ 2019 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - Macquarie University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2025 - FPE020 SMSF Regulations and Taxation - Other - Kaplan Higher Education Pty Limited |
| Steven John Clarke | 2013 | 2012 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2016 - Tax for Financial Advising - Other - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |