This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
managed investment schemes limited to MDA services to retail and wholesale clients;
margin lending facilities limited to standard facilities to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to issue, apply for, acquire, vary or dispose of a financial product limited to:
managed investment schemes limited to MDA services to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
managed investment schemes limited to MDA services to retail and wholesale clients;
margin lending facilities limited to standard facilities to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Arin Doig | 2018 | 2013 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - James Cook University ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2024 - Certified Financial Planner - Professional Designations - FAAA ~ 2025 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jake Holmes | 0 | 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2020 - Graduate Diploma in Business - Graduate Diploma (AQF 8) - Queensland University of Technology |
| James Thomas Hepburn | 2022 | 2019 - Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2021 - Masters of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Patrick Duke | 2007 | 2007 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2009 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2010 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2017 - Master of Financial Planning - - Griffith University |
| Thomas Cotter | 2014 | 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2013 - Bachelor of Business (Accounting/Economics and Regional Development) - - James Cook University ~ 2013 - Bachelor of Business - Bachelor Degree (AQF 7) - James Cook University ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2015 - Certified Financial Planner - Professional Designations - FPA ~ 2016 - Tier 1 Margin Lending - - Kaplan ~ 2025 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |