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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| Anthony Smith | 2018 | 2016 - Bachelor of Business (major in Finance) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Caroline Deanna Rees | 2004 | 2005 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2008 - CFP® Certification Program - - FPA ~ 2008 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2014 - Self Managed Superannuation Fund - - Kaplan Professional ~ 2014 - TASA and the TPB Code of Professional Conduct - - Kaplan Professional ~ 2023 - Aged Care Steps (ACS) Accredited Aged Care Professional Program - Other - Aged Care Steps ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jessica Ann Read | 2011 | 2010 - Bachelor of Business (Banking & Finance and Accounting) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2011 - Diploma of Financial Services (Financial Planning) - Other - RG146 Training Australia ~ 2011 - Margin Lending & Geared Investments - Other - Kaplan Professional ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Lance Robert Meikle | 2005 | 1999 - Master of Business Administration - Masters Degree (AQF 9) - Griffith University ~ 2006 - Advanced Diploma Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2006 - Diploma Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2010 - Certified Financial Planner - Professional Designations - FPA ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |