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 | 1986 - Bachelor of Commerce - - University of Capetown ~ 2010 - Diploma of Stockbroking - - Deakin University ~ 2013 - Diploma of Financial Planning - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jason Brooks | 2003 | 1998 - Bachelor of Commerce - - Griffith University ~ 2002 - Graduate Diploma in Finacial Planning - - Securities Institute of Australia ~ 2014 - Certified Financial Planner - - Deakin University |
| Laura Elanor Marschke | 2014 | 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - FCHFP - Professional Designations - Association of Financial Advisers ~ 2021 - Accredited Aged Age Professional - Other - Aged Care Steps Pty Ltd ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2021 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Linda Joy Cole | 2004 | 2000 - Bachelor of Commerce ( Accounting & Finance) - - University of Southern Qld ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2005 - Certified Financial Planner - Professional Designations - Deakin University ~ 2010 - Professional Certificate of SMSF - - Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Penelope Miriam Evelyn Paton | 2018 | 2015 - Bachelor of Commerce- Fin/FP - Bachelor Degree (AQF 7) - Griffith University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |