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;
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;
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;
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 |
|---|---|---|
| Christopher William Miles | 1999 | 2014 - Diploma Financial Services (Financial Planning) 1-4 - Diploma (AQF 5) - Mixed Providers ~ 2015 - Advanced Diploma Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Mentor Education Group |
| Craig William Armstrong | 2001 | 1999 - Diploma of Business - Diploma (AQF 5) - TAFE QLD ~ 2005 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) |
| Mark Joseph DE Gregorio | 1995 | 1994 - Bachelor of Commerce - - James Cook University ~ 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Nicolas Scott Basham | 1997 | 2002 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2010 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Rebecca Dolan | 2016 | 2014 - Bachelor of Business - Bachelor Degree (AQF 7) - James Cook University ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Sebastian Charl Cavallaro | 2015 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Sharon Hoey | 2008 | 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |