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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Ledingham | 2010 | 2006 - Diploma Financial Planning - Diploma (AQF 5) - Deakin University ~ 2008 - Advanced Diploma - Financial Planning - Advanced Diploma (AQF 6) - Threesixty ~ 2014 - Graduate Diploma - Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional FINSIA ~ 2016 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Joshua Isaac Kozis | 2018 | 2017 - Diploma of Financial Planning (RG146) - - Monarch Institute ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2019 - TASACLv2 Commerical Law - Other - Kaplan Proffesional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Michael Derek Harvey | 2016 | 1992 - Bachelor of Business - - University of Tasmania ~ 2014 - Diploma of Financial Planning - - CPA ~ 2016 - Advising in SMSFs - - CPA ~ 2016 - Superannuation - - CPA |
| Philippa Jane Cassidy | 1994 | 1993 - Bachelor of Commerce - - University of Tasmania ~ 1995 - Diploma of Financial Planning - - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |