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 | 2014 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology, Sydney ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education ~ 2019 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2020 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Jonathan Philpot | 2002 | 1998 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of New South Wales ~ 2000 - Chartered Accountant - Professional Designations - Institute of Chartered Accountants in Australia ~ 2003 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2003 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Lindzi Beulah Caputo | 2016 | 2009 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology, Sydney ~ 2016 - Accredited Listed Product Adviser Program - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education ~ 2017 - Self Managed Superannuation Funds - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Michael Geoffrey Hutton | 1999 | 1984 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Sydney ~ 1987 - Chartered Accountant - - Institute of Chartered Accountants ~ 2001 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2009 - SMSF Specialist Advisor - - SMSF Professionals Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Prue Catherine Cheeseman-goodes | 2022 | 2016 - B Business - Bachelor Degree (AQF 7) - UTS ~ 2018 - Chartered Accountant - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2021 - Accredited Listed Product Adviser Program - Other - Kaplan Higher Education ~ 2023 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education |