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 | Certified Financial Planner Certification - Financial Planning Association of Australia ~ Graduate Certificate in Financial Planning - Finsia ~ Graduate Diploma in Applied Finance - Kaplan Professional ~ Self Managed Super Funds - Kaplan Professional |
| Christopher James Taylor | 2010 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Commerce (Finance and Marketing) - Curtin University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Dean Robert Gilkison | 2000 | Diploma of Financial Planning - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan ~ Program for Leadership Development - Harvard Business School |
| Isabella Serra-jones | 2023 | Bachelor of Commerce (Finance, Economics) - UWA ~ Graduate Diploma of Financial Planning - Kaplan |
| Tahni Davison | 2015 | Advanced Diploma of Financial Planning - AAMC Training Group ~ Diploma of Financial Planning - AAMC Training Group ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Higher Education Pty Ltd |