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 |
|---|---|---|
| Aidan Michael Dixon | 2016 | 2015 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Wollongong ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Certified Financial Planner - Professional Designations - FAAA |
| Christopher John Zegers | 2014 | 2001 - Arts / Philosophy (Honours) - - University of Queensland ~ 2012 - Diploma of Financial Planning - - Kaplan ~ 2014 - SMSF Program - - Kaplan |
| Daniel Werner | 2014 | 2000 - Bachelor of Commerce - - Macquarie University ~ 2010 - Diploma of Financial Planning - - Kaplan |
| Dean Erroll Godbee | 1996 | 1996 - Bachelor of Economics - - Macquarie University ~ 2000 - Diploma of Financial Planning - - FPA Australia ~ 2012 - Tier 2 Compliance Solution - - Kaplan ~ 2019 - Ethics and Professionalism in Financial Planning - Bridging Course - Ethics - Kaplan |
| James Englebrecht | 2014 | 2011 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of New England |
| Morgan Rohan Johnson | 2014 | 2007 - Bachelor of International Business - - Griffith University ~ 2014 - Diploma of Financial Planning - - Kaplan Education Pty Ltd |
| Shane Anthony O'connor | 2018 | 2003 - Risk Management - - Kaplan ~ 2003 - Superannuation & Retirement Planning - - Kaplan ~ 2010 - Graduate Certificate in Applied Finance - - Kaplan |
| Steven John Barclay | 2006 | 2006 - Diploma of Financial Planning - - Kaplan ~ 2013 - Bachelor of Commerce - - University of Canberra ~ 2013 - SMSF Program - - Kaplan |
| Timothy James Donlea | 1990 | 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2003 - Certified Financial Planner - Professional Designations - Financial Planning association |