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 |
|---|---|---|
| Julie Ann Sherwood | 2005 | 2003 - Diploma of Financial Planning - - Deakin University ~ 2012 - Diploma of Financial Services (Financial Planning) FNS50804 - - Pinnacle Financial Services Academy |
| Lara Joanne Gill | 2015 | 2012 - Diploma of Financial Planning - - Kaplan ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan ~ 2017 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2019 - SMSF Specialist Advisors - Professional Designations - SMSF Association ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2022 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps |
| Rodney Wark | 2001 | 1996 - Bachelor of Financial Administration - - University of New England ~ 2002 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) ~ 2008 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2008 - Certified Financial Planner (CFP®) - - Financial Planning Association of Australia (FPA) ~ 2008 - Certified Practising Accountant - - CPA Australia |
| William Ben Lockwood | 2007 | 2002 - Bachelor of Business (Finance) - - Jacksonville University Florida ~ 2007 - Masters of Professional Accounting - - University of Southern Queensland ~ 2012 - Advanced Diploma in Financial Services (Financial Planning) - - Kaplan |