This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to arrange for another person to apply for, acquire, vary or dispose of a financial product limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alexandra Jane Trahair | 2022 | 2019 - Bachelor of Finance - Bachelor Degree (AQF 7) - La Trobe University ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2021 - Tax and Commercial Law for Financial Planning - Other - Kaplan Higher Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education ~ 2024 - SMSF Regulation and Taxation - Other - Kaplan Higher Education |
| William David Howard | 2010 | 2007 - Bachelor of Finance - Bachelor Degree (AQF 7) - The University of Newcastle ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2014 - Advanced Diploma of Financial Planning FN60410 - Advanced Diploma (AQF 6) - RG146 Training Australia Pty Ltd ~ 2016 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |