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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Briony Jade Gouldthorp | 2015 | 2010 - Bachelor of Commerce (Accounting and Financial Planning) - Bachelor Degree (AQF 7) - Curtin University of Technology ~ 2018 - CPA Program - Professional Designations - CPA Australia ~ 2020 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional |
| Christopher Neil Behringer | 2007 | 2008 - Diploma of Financial Services (Financial Planning) FNS50804 - - Mentor Education |
| David Anthony Hartley | 1998 | 2007 - Diploma of Financial Services (Financial Planning) - - Mentor Education ~ 2014 - Advanced Diploma of Financial Planning - - Mentor Education |
| Isabel Hartley | 2023 | 2021 - Bachelor of Commerce (financial planning- with distinction - Bachelor Degree (AQF 7) - University of Wollongong |