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 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Business - Kuringai College of Advanced Education ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University/ Financial Planning Association ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Ben Haydn Atkins - Illek | 2022 | Bachelor of Commerce (Financial Planning) - University of Wollongong ~ Ethics and Professionalism in Financial Advice FPC002B - Kaplan Professional |
| Michelle Amanda Maguire | 2005 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - MLC ThreeSixty ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia ~ Fellow Chartered Financial Practitioner (FChFP) - Association of Financial Advisers (AFA) ~ RG146 Margin Lending - MLC ThreeSixty |
| Siboney Corrales - Palacio | 2013 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - NSW TAFE ~ Master of Financial Planning - Kaplan ~ Self Managed Super Fund - Kaplan |
| Simon John Clifford | 1990 | Accredited Adviser - Family Business Australia ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Master of Business Administration - Macquarie Graduate School of Management ~ Self Managed Superannuation Funds - Kaplan Professional |
| Troy Keith Mcphee | 2000 | Affiliate Diploma Life Insurance - Australian Insurance Institute ~ Certified Financial Planner - Financial Planning Association of Australia ~ Foundation Diploma Financial Planning - Deakin University/ Financial Planning Association ~ Master of Commerce (Financial Planning) - UWS ~ Self Managed Superannuation Funds - Kaplan Professional |