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 |
|---|---|---|
| Darren Andrew Brind | 2002 | 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia Limited ~ 2003 - Diploma of Financial Services - - Commonwealth Bank ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Limited ~ 2014 - Accredited Listed Product Adviser Program - - Kaplan Education Pty Limited ~ 2014 - Cavendish & ICFS Specialist SMSF Course - - The University of Adelaide |
| Joseph Christopher Pricsina | 1999 | 2002 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2011 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional ~ 2019 - SMSF - Other - Financial Education Professionals |
| Mark Alexander Pearson | 2012 | 2015 - Diploma of Financial Planning - - Mentor Education ~ 2015 - SMSF Accreditation - - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Neil Mackay | 1998 | 1996 - Advanced Dipolma in Accounting - - NSW Tafe ~ 2002 - Diploma of Financial Planning - - Deakin University ~ 2004 - ASX Brokers Exam - - Securities Institute ~ 2004 - Anti-Money Laundering/Counter Terrorism Financing E-Learning - - MFAA ~ 2005 - Certificate in Applied SMSF Advice - - Tower Trust |
| Sean Dennis Mcdonald | 2008 | 2008 - Diploma of Financial Planning - - Pinnacle Financial Services ~ 2011 - Advanced Diploma of Financial Planning - - Pinnacle Financial Services |
| Simon Nicholas DE Carro | 2004 | 2000 - Bachelor of Business - - RMIT ~ 2004 - Diploma of Financial Serviuces - - AMP ~ 2006 - Advance Diploma of Financial Services - - AMP Financial Planning |