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;
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;
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| AI Mei Alford | 2012 | 2012 - Diploma of Financial Services (FP) - - Kaplan ~ 2014 - Advanced Diploma of Financial Services (FP) - - Kaplan ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Kyle Sebalja | 2023 | 2018 - bachelor of Commerce - Bachelor Degree (AQF 7) - Curtain University ~ 2021 - Core 1 - Securities and Managed Investments Accreditation - Other - SIAA ~ 2021 - FPC006 Tax and Commercial Law for Financial Planning - Other - Kaplan ~ 2021 - FPC2002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Patrick Anthony Sullivan | 1983 | 2005 - Industry Standard Education - RG146 specialist knowledge - Diploma (AQF 5) - Kaplan Professional ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Shane James Mitchell | 2002 | 1998 - Bachelor of Business (Accounting & Finance) - - Edith Cowan University (ECU) ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - International Institute of Technology Pty Ltd (IIT) ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |