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;
derivatives;
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;
interests in managed investment schemes limited to:
MDA 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;
derivatives;
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Andrew Robert Taylor | 2018 | Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Certificate in Management - Queensland University of Technology ~ Master of Economics - University of New England |
| Anthony Paul Kane | 2003 | ALPA - Kaplan ~ Bachelor of Economics - The University of New England ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| David Paul Cooper | 2003 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Client Engagement Skills - Kaplan Professional ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Gareth Ryan Adams | 2007 | ALPA - Kaplan ~ Bachelor of Business (Financial Planning) - RMIT University ~ Margin Lending and Geared Inv. - Kaplan ~ SMSF - Financial Education |
| Jian YI Lao | 2008 | ALPA - Kaplan ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce - The Australian National University ~ Diploma of Financial Services (Financial Planning 550804) - Kaplan ~ SMSF - SuperConcepts |
| Kate Price | 2023 | Bachelor of Financial Planning - Central Queensland University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Kevin David Malcolm | 2014 | Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Investment Banking Institute ~ SMSF - Kaplan |
| Mark James Anderson | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Business (Finance/Marketing) - Charles Sturt University ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ SMSF - Kaplan |
| Rick John Nicholson | 2001 | Diploma of Financial Services (Financial Planning) - Kaplan Education ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Superannuation and Retirement Advice - Kaplan Professional |
| Stuart Gilchrist | 2006 | ALPA - Kaplan ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Margin Lending and Geared Inv - Kaplan ~ SMSF - eFinancial Essentials |