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;
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; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alexander Thomas Harris | 2016 | 2008 - Bachelor of Applied Finance - - Macquarie University ~ 2008 - Bachelor of Commerce - Accounting - - Macquarie University ~ 2014 - Diploma of Financial Planning - - Kaplan ~ 2020 - Financial Adviser Exam - Other - Fasea ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Brian Andrew Greaves | 2000 | 1992 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Newcastle ~ 2001 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Ltd |
| Brian Martin Willett | 2005 | 1986 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of New South Wales ~ 2005 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2020 - FASEA Exam - Bachelor Degree (AQF 7) - FASEA |
| James William Meehan | 2018 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2023 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of New England |
| Maurice James Horlick | 1987 | 2000 - Diploma Financial Services ( Financial Planning ) - - Deakin University ~ 2022 - Financial Adviser Exam - Other - ASIC |
| Michelle Boot | 2025 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Swinburne University |
| Nathan Christian Mccullum | 2000 | 1999 - Risk Management - - FPA ~ 2000 - Managed Investments - - FPA ~ 2000 - Superannuation and Retirement Planning - - FPA ~ 2002 - Foundation Diploma of Financial Planning - - FPA ~ 2005 - Self Managed Super Fund Course - - Australian Executor Trustees |
| Nick Pelgrave | 0 | 2016 - Bachelor of Business - Bachelor Degree (AQF 7) - QUT ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Regan Isaac | 2009 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology Pty Ltd ~ 2018 - Margin Lending - Other - Kaplan Professional ~ 2021 - AchFP (Associated Chartered Financial Practitioner) - Professional Designations - Kaplan Professional ~ 2022 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - TAFE Higher Education |
| Tracey Richards | 2018 | 2005 - Master of Business Administration - - Southern Cross University (SCU) ~ 2018 - Industry Standard Education - RG146 specialist knowledge - - Kaplan Professional ~ 2019 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |