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 |
|---|---|---|
| Ashlea Margaret Littler | 2015 | Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Limited ~ Self Managed Superannuation funds - University of Adelaide |
| Daryn Koon Wen Loo | 2016 | Bachelor of Chemical Engineering - RMIT University ~ Masters of Banking and Finance - Monash University |
| Dean Scott Hartmann | 1998 | Bachelor of Business (Marketing) - University of Southern Queensland ~ Diploma of Financial Planning - Tribeca Learning (Aust) Pty Limited ~ Gradupate Diploma of Financial Planning - Kaplan |
| Genelle Lea Henningham | 2018 | Bachelor of Commerce Financial Planning - Griffith University ~ Self Managed Super Funds - Kaplan |
| Julia Elizabeth Zietek | 2015 | Cert IV finance and Mortgage - TMA ~ Diploma of Financial Planning - RG146 |
| Natalie Marie Hartmann | 2006 | Certificate IV Financial Services & Mortgage - MTA ~ Diploma of Financial Planning - RG146 Training Australia Pty Ltd ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending Accreditation - Financial Essentials ~ Self Managed Super funds - Kaplan Professional |
| Samantha Etherington | 2010 | Bachelor of Mass Communications (Marketing, Public Relations) - University of Southern Queensland ~ Certificate IV in financial Services (Finance/Mortgage Broking) - Trainee Management Australia (TMA) ~ Diploma of Financial Planning (Financial Services) - RG146 Training Australia Pty Ltd |