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 |
|---|---|---|
| Alexander Barratt Sedgfield | 2015 | 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2019 - FASEA Ethics Financial Advisers Exam - Other - FASEA ~ 2024 - Accredited Behavioural Finance Professional - Professional Designations - Kaplan ~ 2024 - Chartered Retirement Planning Councillor - Professional Designations - Kaplan ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Damon Robert Shurville | 2015 | 2017 - FNS50615 Diploma of Financial Planning - - Kaplan ~ 2017 - Introduction to Self Managed Superannuation Funds - - Kaplan ~ 2017 - Securities and Managed Investments - - Kaplan |
| Gary Browne | 2024 | 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jack John Wooldridge | 2016 | 2016 - Foundations of Financial Planning Part A:Generic Knowledge - - Kaplan ~ 2016 - Superannuation and Retirement Planning - - Kaplan ~ 2017 - Diploma of Financial Planning Certificate - - Kaplan ~ 2017 - Tier 1 Life Insurance -Personal Advice - - Kaplan ~ 2018 - Securities and Managed Investments - - Kaplan |
| Lucas James Whiting Narburgh | 2024 | 2021 - Economics, Finance and Banking - Bachelor Honours Degree (AQF 8) - University of Portsmouth ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Max George Clayton Summers | 2023 | 2021 - Graduatet Diploma of Financial Planning - Graduate Certificate (AQF 8) - Kaplan |
| Nastassya Catherine Fusipala O'pangai Muller | 0 | 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Sara Elizabeth Lucas | 2013 | 2013 - Financial Planning - - Pinnacle ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Stuart Peter Holmes | 2015 | 2014 - FNS50611 DIPLOMA OF FINANCIAL PLANNING QUALIFICATION - - KAPLAN PROFESSIONAL EDUCATION ~ 2016 - Advanced Diploma of Financial Planning - - Mentor ~ 2017 - Diploma of Leadership and Management - - Kaplan ~ 2019 - Foundations of Directorship - Professional Designations - AICD ~ 2019 - Responsible Manager Fundamentals - Professional Designations - Financial Education Professionals |