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;
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;
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 |
|---|---|---|
| Anthony Phillip Fox | 2000 | 1984 - Bachelor of Business - - Kuringai College of Advanced Education ~ 2002 - Diploma of Financial Planning - - Deakin University/ Financial Planning Association ~ 2005 - Certified Financial Planner - - Financial Planning Association ~ 2009 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps |
| Ben Haydn Atkins - Illek | 2022 | 2015 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2021 - Ethics and Professionalism in Financial Advice FPC002B - Bridging Course - Ethics - Kaplan Professional |
| Michelle Amanda Maguire | 2005 | 2004 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2006 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2019 - Fellow Chartered Financial Practitioner (FChFP) - Professional Designations - Association of Financial Advisers (AFA) ~ 2024 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Western Sydney University ~ 2024 - Graduate certificate financial planning - Graduate Certificate (AQF 8) - western sydney university |
| Siboney Corrales - Palacio | 2013 | 2011 - Diploma of Financial Planning - - NSW TAFE ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan ~ 2014 - Self Managed Super Fund - - Kaplan ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Simon John Clifford | 1990 | 1997 - Certified Financial Planner - - Financial Planning Association ~ 1997 - Diploma of Financial Planning - - Financial Planning Association ~ 2001 - Master of Business Administration - - Macquarie Graduate School of Management ~ 2014 - Accredited Adviser - - Family Business Australia ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional |
| Troy Keith Mcphee | 2000 | 1995 - Affiliate Diploma Life Insurance - - Australian Insurance Institute ~ 2002 - Foundation Diploma Financial Planning - - Deakin University/ Financial Planning Association ~ 2005 - Master of Commerce (Financial Planning) - - UWS ~ 2007 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2009 - Self Managed Superannuation Funds - - Kaplan Professional |