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 |
|---|---|---|
| Brett Anthony Surman | 2009 | 2008 - Graduate Certificate in Financial Planning - - Finsia ~ 2009 - Graduate Diploma in Applied Finance - - Kaplan Professional ~ 2015 - Self Managed Super Funds - - Kaplan Professional ~ 2017 - Certified Financial Planner Certification - Professional Designations - Financial Planning Association of Australia |
| Christopher James Taylor | 2010 | 2004 - Bachelor of Commerce (Finance and Marketing) - - Curtin University ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2011 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Isabella Serra-jones | 2023 | 2020 - Bachelor of Commerce (Finance, Economics) - Bachelor Degree (AQF 7) - UWA ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Tahni Davison | 2015 | 2014 - Advanced Diploma of Financial Planning - - AAMC Training Group ~ 2014 - Diploma of Financial Planning - - AAMC Training Group ~ 2017 - Graduate Certificate in Financial Planning - - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Ltd |