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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Andre Woud | 2018 | 2014 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Sunshine Coast University ~ 2017 - Margin Lending - Other - Kaplan ~ 2017 - Self Managed Superannuation Funds - Other - Kaplan ~ 2025 - Ethics and Professionalism - Bridging Course - Ethics - Kaplan |
| Jack William Mayer | 2024 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of QLD ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| James Patrick Gordon | 2018 | 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2019 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2020 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of New England |
| John Anthony Spooner | 2005 | 1993 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 1998 - CPA Program - Professional Designations - CPA Australia ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2008 - Self Managed Super Funds - Other - Kaplan ~ 2014 - Accredited Listed Product Adviser Program - Other - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - CFP Program - Professional Designations - CFP Certification Program ~ 2025 - Ethics and Professionalism - Bridging Course - Ethics - Kaplan |
| Kurt Jade Grainger | 2007 | 2005 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2009 - Self Managed Superannuation Funds - Other - Kaplan ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan ~ 2014 - ASX Accredited Listed Product Adviser - Other - Kaplan ~ 2016 - CFP Program - Professional Designations - CFP Certification Program ~ 2025 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Nicholas James Doran | 2018 | 2015 - Bachelor of Business (International Business)/Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Sunshine Coast ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Olivia Cate Odgaard | 2024 | 2019 - Bachelor of Business - Finance - Bachelor Degree (AQF 7) - QUT ~ 2021 - Financial Planning - Graduate Diploma (AQF 8) - QUT |