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;
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 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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Benjamin Graham | 2006 | 2004 - Bachelor of Engineering (Electrical Engineering) - Bachelor Degree (AQF 7) - University of Queensland ~ 2007 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2007 - Senior Associate - Professional Designations - FINSIA ~ 2009 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jody Lee Dening | 2017 | 2003 - Certificate III Financial Services - Certificate (AQF 1-4) - Institue of Financial Services ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN Professional |
| Martin Andrew Webb | 2009 | 2001 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2005 - Graduate Certificate in Applied Finance and Investment - Graduate Certificate (AQF 8) - FINSIA ~ 2010 - FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - KAPLAN ~ 2011 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |