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;
standard margin lending facility; 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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Jake Gregory O'dea | 2022 | 2018 - Bachelor Commerce - Bachelor Degree (AQF 7) - University of Wollongong ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicola Keane | 2018 | 2018 - Bachelor of Economics & Finance - Bachelor Degree (AQF 7) - University of Wollongong ~ 2020 - Accredited Listed Product Adviser program - Other - Kaplan Professional ~ 2020 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Paul Craig Bottele | 2008 | 1999 - Bachelor of Commerce - - Wollongong University ~ 2001 - CA Program - - Chartered Accountants ~ 2005 - Foundation DFP & Diplomia Financial Services - - FPA ~ 2005 - SMSF Specialist Advisor - - SPAA ~ 2009 - CFP - - FPA |
| Sarah Jane Carli | 2018 | 2017 - Bachelor of Commerce (Finance & Management) - - University of Wollongong ~ 2018 - Certificate IV in Finance & Mortgage Broking - - Kaplan Professional ~ 2018 - Diploma of Financial Planning - - Mentor Education ~ 2020 - AU Inhouse SMSF Accreditation - Other - AUPFS |