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 | Bachelor of Commerce (Financial Planning) - Sunshine Coast University ~ Margin Lending - Kaplan Professional Education ~ Self Managed Super Fund - Kaplan Professional Education |
| Christopher Holme | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Mentor Education |
| James Patrick Gordon | 2018 | Bachelor of Business (Finance) - Queensland University of Technology ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma in Financial Planning - University of New England |
| John Anthony Spooner | 2005 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Bachelor of Business (Accountancy) - Queensland University of Technology ~ CPA Program - CPA Australia ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Kurt Jade Grainger | 2007 | ASX Accredited Listed Product Adviser - Kaplan Professional Education ~ Bachelor of Commerce (Financial Planning) - Griffith University ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Nicholas James Doran | 2018 | Bachelor of Business (International Business)/Bachelor of Commerce (Financial Planning) - University of Sunshine Coast |