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;
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;
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 |
|---|---|---|
| Benjamin George Brookes | 2011 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending - Kaplan |
| Katherine Anne Hayes | 2006 | Diploma of Financial Services (Financial Planning) - Finsia ~ Graduate Certificate of Financial Planning - Finsia ~ Graduate Diploma of Applied Finance - Kaplan |
| Matthew William Wallis | 2012 | DFP5v3 Tax for Financial Advising - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ TASACLv1 Commercial Law - Kaplan |
| Phillip Arthur Osborne | 1998 | Diploma of Financial Planning - FPA / Deakin University ~ Master of Commerce - University of Western Sydney |
| Shaun Clements | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Master of Financial Planning - University of the Sunshine Coast |