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 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Education Pty Limited ~ 2015 - Self Managed Superannuation funds - Certificate (AQF 1-4) - University of Adelaide |
| Daryn Koon Wen Loo | 2016 | 2013 - Bachelor of Chemical Engineering - - RMIT University ~ 2016 - Master of Business (Banking and Finance) - Masters Degree (AQF 9) - Monash University ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Griffith University |
| Dean Scott Hartmann | 1998 | 1996 - Bachelor of Business (Marketing) - - University of Southern Queensland ~ 2002 - Diploma of Financial Planning - - Tribeca Learning (Aust) Pty Limited ~ 2023 - Gradupate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Genelle Lea Henningham | 2018 | 2013 - Bachelor of Commerce Financial Planning - - Griffith University ~ 2020 - Self Managed Super Funds - Certificate (AQF 1-4) - Kaplan |
| Julia Elizabeth Zietek | 2015 | 2010 - Cert IV finance and Mortgage - - TMA ~ 2015 - Diploma of Financial Planning - - RG146 ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Natalie Marie Hartmann | 2006 | 2006 - Diploma of Financial Planning - - RG146 Training Australia Pty Ltd ~ 2009 - Self Managed Super funds - Certificate (AQF 1-4) - Kaplan Professional ~ 2010 - Certificate IV Financial Services & Mortgage - - MTA ~ 2011 - Margin Lending Accreditation - Certificate (AQF 1-4) - Financial Essentials ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Samantha Etherington | 2010 | 2005 - Bachelor of Mass Communications (Marketing, Public Relations) - - University of Southern Queensland ~ 2010 - Certificate IV in financial Services (Finance/Mortgage Broking) - Certificate (AQF 1-4) - Trainee Management Australia (TMA) ~ 2010 - Diploma of Financial Planning (Financial Services) - - RG146 Training Australia Pty Ltd |