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 | Bachelor Commerce - University of Wollongong ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Nicola Keane | 2018 | Accredited Listed Product Adviser program - Kaplan Professional ~ Bachelor of Economics & Finance - University of Wollongong ~ Diploma of Financial Planning - Mentor ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Paul Craig Bottele | 2008 | Bachelor of Commerce - Wollongong University ~ CA Program - Chartered Accountants ~ CFP - FPA ~ Foundation DFP & Diplomia Financial Services - FPA ~ SMSF Specialist Advisor - SPAA |
| Sarah Jane Carli | 2018 | AU Inhouse SMSF Accreditation - AUPFS ~ Bachelor of Commerce (Finance & Management) - University of Wollongong ~ Certificate IV in Finance & Mortgage Broking - Kaplan Professional ~ Diploma of Financial Planning - Mentor Education |