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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| David John Rae | 2003 | Bachelor of Economics - Macquarie University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Securities Institute of Australia |
| Fiona Clare Thomas | 2002 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Arts - The University of Sydney ~ Diploma of Financial Services (Financial Planning) - Ingratec ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Social Development - University of New South Wales |
| James Harley Chalmers | 2018 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Physiotherapy - University of South Australia ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Public Health - The University of Queensland |
| Julia Harley | 2013 | Bachelor of Business - University of Technology Sydney ~ Diploma of Business and Commerce - University of Technology Sydney ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Graduate Certificate in Applied Finance - Kaplan ~ Graduate Diploma in Applied Finance and Investment - Financial Services Institute of Australia |
| Justin Medcalf | 2007 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce (Accounting) - University of Western Sydney ~ Diploma of Financial Planning - Kaplan |
| Kathryn Fitch-daniels | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Threesixty ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Graduate Diploma in Financial Planning - University of Western Sydney ~ Self Managed Superannuation Fund - Kaplan |
| Matthew Hicks | 2013 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Michael Evan Josephson | 2003 | Bachelor of Arts - Asian Studies - Princeton University USA ~ Diploma of Financial Planning - Kaplan |
| Michelle Jane Skittrall | 2013 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Business - University of South Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Trevor Thomas | 1998 | Bachelor of Economics (Hons) - The University of Sydney ~ Diploma of Financial Planning - Securities Institute ~ Master of Business Administration - Eastern College |
| Vaughan Stephen Hain | 2018 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Master of Business in Accounting and Finance - University of Technology Sydney |