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 | Advanced Diploma Financial Planning FNS60415 - Mentor Education Group ~ Diploma Financial Services (Financial Planning) 1-4 - Mixed Providers |
| Craig William Armstrong | 2001 | Diploma of Business - TAFE QLD ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Mark Joseph DE Gregorio | 1995 | Bachelor of Commerce - James Cook University ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Nicolas Scott Basham | 1997 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Margin Lending - MLC ThreeSixty |
| Rebecca Dolan | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business - James Cook University ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Sebastian Charl Cavallaro | 2015 | Diploma of Financial Services (Financial Planning) - Tribeca ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Sharon Hoey | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |