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 |
|---|---|---|
| Adam John Passwell | 1999 | 1997 - Bachelor of Economics, Double major in Economics and Business Law - - Macquarie University ~ 2002 - Advanced Diploma in Financial Planning - - Deakin University ~ 2005 - SMSF Specialist Adviser - - SMSF Strategies & SPAA ~ 2013 - Estate Planning Specialist Adviser - - University Technology Sydney ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Andrew Vance Clegg | 2005 | 1997 - Bachelor of Commerce - - University of Wollongong ~ 2007 - Graduate Diploma of Financial Planning - - FINSIA ~ 2011 - Specialist SMSF Course - - International Centre for Financial Services University of Adelaide ~ 2015 - Behavioural Investing Course - - Behavioural Finance Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Cheyne Toby Whitford | 2009 | 2007 - Bachelor of Commerce (Accounting) - - University of Wollongong ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2010 - Master of Financial Planning (Distinction) - - University of Western Sydney ~ 2011 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jeanette O'connor | 2014 | 2009 - Diploma of Financial Services - - Kaplan Professional Education ~ 2011 - Advanced Diploma of Financial Services Financial Planning - - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |