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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| David Dunell Norman Cox | 2002 | Bachelor of Commerce - University of Capetown ~ Diploma of Financial Planning - Kaplan ~ Diploma of Stockbroking - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Jason Brooks | 2003 | Bachelor of Commerce - Griffith University ~ Certified Financial Planner - Deakin University ~ Graduate Diploma in Finacial Planning - Securities Institute of Australia |
| Laura Elanor Marschke | 2014 | Accredited Aged Age Professional - Aged Care Steps Pty Ltd ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ FCHFP - Association of Financial Advisers ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Masters of Financial Planning - Kaplan Professional |
| Linda Joy Cole | 2004 | Bachelor of Commerce ( Accounting & Finance) - University of Southern Qld ~ Certified Financial Planner - Deakin University ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Professional Certificate of SMSF - Deakin University |
| Penelope Miriam Evelyn Cole | 2018 | Bachelor of Commerce- Fin/FP - Griffith University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |