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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Bobby Jed Byrne | 2022 | Bachelor of Commerce (Finance & Financial Planning) - Griffith Universtiy ~ SMSF Regulations and Taxation - Kaplan Professional |
| Philippa Lee Baker | 2007 | ADFP - Kaplan ~ Bachelor of Commerce (Acc/FP) - Griffith Uni ~ Bachelor of Finance - Griffith University ~ Bachelor of Finance - Griffith University ~ Cavendish & ICFS Specialist SMSF Course - The University of Adelaide |
| Samuel George Winston Kerr | 2018 | Advanced Diploma of Financial Planning - Mentor Education Pty Ltd ~ Diploma of Finance and Mortgage Broking Management - Kaplan Professional ~ Diploma of Financial Planning - Mentor Education Pty Ltd ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Deakin University |
| Shane Christopher Lawler | 2001 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Science - Monash University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia |