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) - - Queensland University of Technology |
| Jessica Ann Read | 2011 | 2010 - Bachelor of Business (Banking & Finance and Accounting) - - Queensland University of Technology ~ 2011 - Diploma of Financial Services (Financial Planning) - - RE146 Training Australia ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Kerrie Jayne Bampton | 2004 | 2004 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Integratec ~ 2004 - Self Managed Superannuation Funds Adviser Course - Diploma (AQF 5) - Tribeca ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2014 - ASX Accredited Listed Products Adviser - Other - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Richard John Leal | 2008 | 2007 - Bachelor of Commerce in Financial Planning and Investments (Accounting) - Bachelor Degree (AQF 7) - Griffith University ~ 2015 - Margin Lending - - Monarch Institute ~ 2015 - Self Managed Superannuation Funds - - Monarch Institute |