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 | Bachelor of Commerce - University of Wollongong ~ Diploma of Financial Planning - Kaplan |
| Christopher John Zegers | 2014 | Arts / Philosophy (Honours) - University of Queensland ~ Diploma of Financial Planning - Kaplan ~ SMSF Program - Kaplan |
| Daniel Werner | 2014 | Bachelor of Commerce - Macquarie University ~ Diploma of Financial Planning - Kaplan |
| Dean Erroll Godbee | 1996 | Bachelor of Economics - Macquarie University ~ Diploma of Financial Planning - FPA Australia ~ Ethics and Professionalism in Financial Planning - Kaplan ~ Tier 2 Compliance Solution - Kaplan |
| James Englebrecht | 2014 | Bachelor of Commerce - University of New England |
| Morgan Rohan Johnson | 2014 | Bachelor of International Business - Griffith University ~ Diploma of Financial Planning - Kaplan Education Pty Ltd |
| Peter James Mccormack | 2000 | Advanced Diploma Financial Services (FP) FNS60404 - MLC ThreeSixty ~ Bachelor Accounting - University of Canberra ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Margin Lending - MLC ThreeSixty |
| Shane Anthony O'connor | 2018 | Graduate Certificate in Applied Finance - Kaplan ~ Risk Management - Kaplan ~ Superannuation & Retirement Planning - Kaplan |
| Steven John Barclay | 2006 | Bachelor of Commerce - University of Canberra ~ Diploma of Financial Planning - Kaplan ~ SMSF Program - Kaplan |
| Timothy James Donlea | 1990 | Certified Financial Planner - Financial Planning association ~ Diploma Financial Planning - Deakin Univesity |