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;
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;
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 |
|---|---|---|
| Chace Margaret Baulch | 2018 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advance Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Daniel Patrick Hogan | 2005 | 2003 - Bachelor of Economics - Bachelor Degree (AQF 7) - James Cook University ~ 2010 - Financial Essentials SMSF Adviser Education Program - Certificate (AQF 1-4) - Financial Essentials Pty Ltd ~ 2011 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional Education ~ 2012 - Advance Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2015 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia (FPA) |
| Giovanni Alfio Licciardello | 2004 | 2000 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Southern Queensland ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Grant Russell Matthews | 2018 | 2018 - Bachelor of Business - Bachelor Degree (AQF 7) - James Cook University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Louise Maree Previtera | 2011 | 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2012 - Margin Lending - Other - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Mary Fry | 2016 | 2015 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Eductation ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Peter James Mckaig | 2002 | 1993 - Bachelor of Commerce - Bachelor Degree (AQF 7) - James Cook University of North Queensland ~ 1997 - Certified Practising Accountant - Professional Designations - Australian Society of Certified Practising Accountants ~ 1999 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |