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 | Advanced Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - International Institute of Technology |
| Ashish Raj Pandey | 2016 | Bachelor of Business and Commerce (Accounting) - Western Sydney University ~ Diploma of Financial Planning - Kaplan Professional |
| Bryce Josef Jansen | 2023 | Graduate Diploma of Financial Planning - Kaplan |
| Diane Morley | 2010 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Certificate III in Business (Office Administration) - TAFE Queensland ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Psychology - International Correspondence Schools Australasia |
| Hayden Daniel Smith | 2018 | Diploma of Financial Planning - IIT ~ FNS60415 ADVANCED DIPLOMA OF FINANCIAL PLANNING - INTERNATIONAL INSTITUTE OF TECHNOLOGY |
| Robert Lee Mcdonald | 2007 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Finance & Mortgage Broking - International Institute of Technology (IIT) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - International Institute of Technology |
| Ross Coutts | 1991 | DFP 1-5 - Financial Planning Association (FPA) ~ Margin Lending & Geared Investments - Kaplan Australia ~ Self Managed Superannuation Funds - Kaplan Australia |
| Sok Houng Lay | 2018 | Bachelor of Commerce - Deakin University ~ Tax for Financial Advising - Kaplan Professional |