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;
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;
securities; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Ashleigh Errington | 2023 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Brendan Alastair Chin | 2022 | 2019 - Bachelor of Finance - Bachelor Degree (AQF 7) - University of Canberra ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| David Mark Cox | 2001 | 1996 - Bachelor of Commerce - - Australian National University ~ 2000 - Diploma of Financial Planning - - Deakin University |
| Felix Christopher Humphries | 2018 | 2017 - Bachelor of Finance (Financial Planning Major) - - University of Canberra |
| Jason Allenby Rance | 2009 | 2006 - Bachelor of Information Technology - - University of Canberra ~ 2007 - Bachelor of Commerce - - University of Canberra ~ 2009 - Diploma of Financial Planning (Financial Services) - - Kaplan ~ 2012 - Certified Financial Planner - - Deakin University ~ 2013 - Life Risk Specialist - - Deakin University |
| Rhys Django Caldwell-bastian | 2008 | 2008 - Bachelor of Commerce - - University of Canberra ~ 2009 - Superannuation, Retirement Planning & Social Security - - Pinnacle ~ 2011 - Margin Lending and Geared Investments - - Kaplan |