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;
derivatives;
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 |
|---|---|---|
| Jason Patrick Mcfadden | 1999 | 1994 - Bachelor of Business (Accounting) - - University of New England ~ 2001 - Diploma of Financial Planning - - Deakin University ~ 2003 - Graduate Diploma of Applied Finance and Investment - - Kaplan ~ 2014 - Certificate in Aged Care - - Aged Care Steps ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Nicholas Grant Rose | 2005 | 2000 - Bachelor of Business in Tourism - Bachelor Degree (AQF 7) - Southern Cross University ~ 2008 - Advanced Diploma of Financial Services - - Kaplan ~ 2011 - Specialist SMSF Course - - The University of Adelaide ~ 2021 - Graduate Diploma of Financial PLanning - Graduate Diploma (AQF 8) - Kaplan Higher Education ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education |
| Todd Anthony Newton | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Pinnacle ~ 2016 - Advanced Investment Planning - Advanced Diploma (AQF 6) - Mentor ~ 2016 - DFP5v1 Tax for Financial Advising - Diploma (AQF 5) - Kaplan ~ 2016 - Estate Planning - Advanced Diploma (AQF 6) - Mentor ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor |