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); 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); and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew O'brien | 2003 | 2004 - Diploma of Financial Planning 1-8 - Advanced Diploma (AQF 6) - FPA ~ 2015 - Graduate Certificate in Business (Applied Finance) - Graduate Certificate (AQF 8) - QUT ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2020 - FPC007B Client Engagement Skills - Other - Kaplan |
| Daniel John Jones | 2006 | 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2009 - Graduate Certificate in Business (Applied Finance) - Graduate Certificate (AQF 8) - QUT |
| Liam Price | 2003 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - MLC ~ 2012 - Provide Advice in Margin Lending - - MLC |
| Tobias Ian Mckay | 2008 | 2008 - Diploma of Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - IIT ~ 2016 - Bachelor of Business(Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |