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;
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;
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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alexander Charles Straker | 2005 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - Self Managed Superannuation Funds - - International Institute of Technology ~ 2013 - Advanced Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) |
| Ashish Raj Pandey | 2016 | 2011 - Bachelor of Business and Commerce (Accounting) - Bachelor Degree (AQF 7) - Western Sydney University ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional |
| Bryce Josef Jansen | 2023 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Diane Morley | 2010 | 1997 - Diploma of Psychology - - International Correspondence Schools Australasia ~ 2000 - Certificate III in Business (Office Administration) - - TAFE Queensland ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2021 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology |
| Hayden Daniel Smith | 2018 | 2018 - Diploma of Financial Planning - - IIT ~ 2021 - FNS60415 ADVANCED DIPLOMA OF FINANCIAL PLANNING - Advanced Diploma (AQF 6) - INTERNATIONAL INSTITUTE OF TECHNOLOGY |
| Michael John Joseph Koch | 2007 | 2004 - Bachelor of Commerce - - University of Wollongong ~ 2007 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Robert Lee Mcdonald | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) ~ 2014 - Self Managed Superannuation Funds - - International Institute of Technology ~ 2017 - Diploma of Finance & Mortgage Broking - - International Institute of Technology (IIT) |
| Ross Coutts | 1991 | 1998 - DFP 1-5 - Diploma (AQF 5) - Financial Planning Association (FPA) ~ 2011 - Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Australia ~ 2014 - Self Managed Superannuation Funds - Advanced Diploma (AQF 6) - Kaplan Australia |
| Sok Houng Lay | 2018 | 2013 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2021 - Tax for Financial Advising - Other - Kaplan Professional |
| Terri Cheree Kenyon | 2018 | 2018 - Diploma of Financial Planning - - IIT |