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;
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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Bradley John Stewart | 2004 | 1997 - Bachelor of Commerce - - James Cook University ~ 2001 - Diploma of Financial Planning - - Deakin University ~ 2003 - Certified Financial Planner - Professional Designations - Deakin ~ 2020 - Ethics & Professionalism - Bridging Course - Ethics - Kaplan |
| Ian Peter Byrne | 2000 | 2000 - Diploma of Financial Planning and CFP - - Deakin / FPA ~ 2007 - Margin Lending & Geared Investments - - Kaplan ~ 2007 - Self Managed Super Funds - - Tribeca ~ 2009 - ASX ALPA - - Kaplan ~ 2013 - Certificate IV Finance & Mortgage Broking - - AAMC |
| Zakari Anton Glatthor | 2014 | 2016 - Tier 1 Margin Lending - Personal Advice - - Kaplan ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan ~ 2019 - Graduate Certificate in Self-Managed Superannuation Funds - Graduate Certificate (AQF 8) - Kaplan ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2021 - Certified Financial Planner - Professional Designations - FPA |