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;
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; and
superannuation; and
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:
interests in managed investment schemes 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Gannon | 2005 | 2005 - Bachelor of Commerce (Accounting and Financial Planning) - - Curtin University ~ 2005 - Diploma of Financial Services (Financial Planning) - - Financial Planning Association of Australia ~ 2010 - CPA Australia Program - - Certified Practising Accountants Australia ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| James Crawford Green | 2014 | 2014 - Diploma in Financial Planning - - Kaplan Professional Planning ~ 2015 - Graduate Diploma in Financial Planning - - Kaplan Professional Education ~ 2016 - Masters of Financial Planning - - Kaplan Professional Education ~ 2017 - Margin Lending Accreditation Course - - Deakin Prime |
| Robert Rocca | 2011 | 2005 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2010 - Graduate Certificate in Finance - - Charles Sturt University ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan ~ 2017 - Margin Lending Personal Advice - - Kaplan Professional Education ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Scott Tanner | 2004 | 2000 - Bachelor of Commerce Economics and Finance - - Curtin University of Technology ~ 2005 - Graduate Diploma of Financial Planning - - Securities Institute Education ~ 2010 - Certified Financial Planner Education Program - - Financial Planning Association of Australia ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional Education ~ 2013 - Cavenish & ICFS Specialist SMSF Course - - Cavendish |