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 |
|---|---|---|
| Allan Weston Johnson | 2004 | 2001 - Diploma in Financial Services (Distribution) - - Deakin Financial Planning Pty Ltd ~ 2001 - Financial Services Essentials - - Deakin Financial Planning Pty Ltd ~ 2010 - Regulatory Guide 146 Assessment - - Kaplan Education Pty Ltd |
| Colin Stocks | 2006 | 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Education Pty Ltd ~ 2011 - Tier 1 Insurance Broking - - Australian and New Zealand Institute of Insurance and Finance (ANZIIF) |
| Craig Ross | 1985 | 2002 - Bachelor of Commerce (Finance & Marketing) - - Curtin ~ 2006 - Advanced Diploma of Financial Planning - - Tribeca ~ 2010 - Diploma of Financial Planning - - Kaplan |
| Gurprit Singh | 2005 | 2002 - Diploma of Financial Services (Financial Planning) - - Tribeca Learning (now Kaplan Business School) ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| John James Tait | 2011 | 2009 - Diploma of Financial Services (Financial Planning) - - AAMC Training Group ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute |
| Paul Bowen | 1991 | 1996 - Certificate in Financial Planning - - Chartered Insurance Institue (CII) - UK ~ 2003 - Certificate in Mortgage Advice - - Chartered Insurance Institue (CII) - UK ~ 2013 - Diploma in Financial Planning - - Chartered Insurance Institue (CII) - UK ~ 2014 - Advanced Diploma in Financial Planning - - Kaplan ~ 2014 - Diploma in Financial Planning - - Kaplan |
| Rebecca Viola Firns | 2006 | 2002 - Diploma of Financial Planning - DFP 1 - 7 - - Financial Planning Association ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - - Financial Planning Association ~ 2010 - Certified Financial Planner - Other - Financial Planning Association ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2013 - SMSF Specialist Advisor - Other - SMSF Association |
| Sebastian Andrew Benade | 2009 | 2005 - Bachelor Business (International Business) - Bachelor Degree (AQF 7) - University of Sunshine Coast ~ 2009 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2012 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2019 - RG146 Tier 1 Margin Lending - Diploma (AQF 5) - Kaplan Australia |
| Steven Michael Milios | 2009 | 2000 - Cert III in Financial Planning (Financial Planning: Principles & Applications) - - The Australian Institute of Financial Studies Pty Ltd ~ 2001 - Insurance Planning: Principles & Applications - - The Australian Institute of Financial Studies Pty Ltd ~ 2001 - Superannuation & Retirement Planning - - The Australian Institute of Financial Studies Pty Ltd ~ 2004 - Investment Planning 2 (90879NSW) - - Integratec (Aust) Pty Ltd |