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 |
|---|---|---|
| Alan Michael Fox | 2018 | 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2020 - Estate Planning - Other - Kaplan Professional ~ 2023 - Commercial Law - Other - Kaplan Professional ~ 2023 - Taxation for Financial Planning - Other - Kaplan Professional ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Debbie Adams | 2009 | 2008 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2011 - ASX Listed Products Accreditation Course - - LPAC Online ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2016 - Certified Life Practicioner - - AFA |
| Gemma Hulbert | 2018 | 2018 - Diploma Financial Planning - - Kaplan ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2024 - Taxation for Financial Planning - Graduate Diploma (AQF 8) - Kaplan Profeesional |
| Patrick Anthony O'leary | 2001 | 2011 - Margin Lending - - Kaplan Professional Education ~ 2012 - BCom (Finance) - - Macquarie University ~ 2012 - Diploma of Financial Planning - - CCH ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education |