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 |
|---|---|---|
| Christopher Anthony Ball | 2014 | 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals |
| David Mark Moss | 2009 | 2001 - Bachelor of Economics, sub major in Finance - - University of Western Sydney ~ 2001 - Legal Foundations of Business - Masters Degree (AQF 9) - University of New South Wales ~ 2001 - Revenue Law - Masters Degree (AQF 9) - University of New South Wales ~ 2002 - Master of Commerce, Specialisation in Business Law - - University of New South Wales ~ 2006 - Regulatory Guide146 (Tier 1) in Generic Knowledge, Skills, Superannuation - - RMIT University ~ 2009 - Regulatory Guide146 (Tier 1) in Life Ins., Management Invt, Securities, Derivatives, Financial Plan - - RMIT University ~ 2016 - RG146 Licensing Compliance: Self-managed Superannuation Funds - Certificate (AQF 1-4) - Financial Education Professionals Pty Ltd |
| Emma Marie Norton Selzer | 2016 | 2016 - FNS50615 Diploma of Financial Planning - - Kaplan ~ 2017 - Securities and Managed Investments - - Kaplan |
| Enrico Cachucho | 2009 | 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals |
| George Stainton | 2016 | 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals |
| Jonathan Simon Brookes | 1998 | 2021 - RG146 units of competency - Diploma (AQF 5) - Financial Education Professional Pty Ltd |
| Joseph Kerwin | 2011 | 2013 - Diploma of Financial Planning - - Monarch Institute ~ 2014 - Advanced Diploma of Financial Planning - - Monarch Institute |
| Kareem Rathore | 2012 | 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals |
| Moheen Ahmed | 2012 | 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals |
| Thomas William Kenneth Goldie | 2016 | 2021 - RG146 FNS41815 -Certificate IV in Financial Services - Certificate (AQF 1-4) - Financial Education Professionals |