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 |
|---|---|---|
| Emma Hicks | 2018 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business (Accounting & HR Management) - University of Technology, Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Jonathan Philpot | 2002 | Bachelor of Commerce - University of New South Wales ~ Certified Financial Planner - Financial Planning Association ~ Chartered Accountant - ICAA ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics & Professionalism in Financial Advice - Kaplan Professional |
| Lindzi Beulah Caputo | 2016 | Accredited Listed Product Adviser Program - Kaplan ~ Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business - University of Technology Sydney ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Michael Geoffrey Hutton | 1999 | Bachelor of Economics - University of Sydney ~ Chartered Accountant - Institute of Chartered Accountants ~ Diploma of Financial Planning - Deakin University/ Financial Planning Association ~ SMSF Specialist Advisor - SMSF Professionals Association of Australia |
| Prue Catherine Cheeseman-goodes | 2022 | Accredited Listed Product Adviser Program - Kaplan ~ B Business - UTS ~ Graduate Diploma of Chartered Accounting - CAANZ ~ Master of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |