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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; 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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation;
to retail and wholesale clients.
Name | First provided advice | Qualification and trainings |
---|---|---|
Aaron John Cullen | 2009 | Diploma of Financial Services (Financial Planning) - Kaplan Professional |
Adam Drinkwater | 2014 | Advanced Diploma of Financial Planning - Pinnacle ~ Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Bachelor of Arts (Business) - Liverpool John Moores University ~ Bachelor of Arts - Liverpool John Moores University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
Amanda Renee Halse | 2018 | Accredited Aged Care Professional - Aged Care Steps ~ Diploma of Financial Planning - International Institute of Technology ~ Graduate Diploma of Financial Planning - Kaplan Professional |
David William Rodgers | 2002 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ MAI769 Ethics for Financial Services - Deakin University |
Douglas Andrew Gordon Henderson | 2003 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Arts in Service Sector Management - Glasgow Caledonian University ~ DPML Margin Lending - Pinnacle Services Academy ~ Graduate Certificate in Applied Finance - Kaplan ~ Self Managed Superannuation Funds - Mentor |
Gary Simon Cooper | 2014 | Bachelor of Commerce (Hons.) - Rhodes University ~ Chartered Accountant - ICAA (now CA) ~ Diploma in Financial Services (Financial Planning) (RG146) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ SMSF Auditor - ASIC |
James Lonergan | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Graduate Diploma in Applied Finance (Financial Planning) - Kaplan Professional |
Kieren O'keefe | 0 | Financial Planning - Kaplan |
Mark Nagle | 2001 | Diploma of Financial Planning - Deakin University |
Timothy Ross | 1990 | Diploma of Financial Services (Financial Planning) - Kaplan ~ SMSF Specialist Accreditation - Mentor Education |