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 |
|---|---|---|
| Denise Bell | 2005 | 1998 - Bachelor of Business - - University of Technology Sydney (UTS) ~ 2005 - Advanced Diploma of Financial Services (Financial Planning - - Kaplan Professional ~ 2014 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2017 - Accredited Listed Product Adviser Program (ALPA) - - Kaplan Professional |
| Denise Chambers | 2005 | 2005 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional (formerly Tribeca) ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional (formerly Tribeca) ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Irene Jiang Ing Kay | 1992 | 1973 - Bachelor of Science - - University of New South Wales ~ 1973 - Graduate Diploma of Education - - University of New South Wales ~ 1995 - Diploma in Life Insurance - - Deakin University (Australian Lifewriters Association) ~ 1997 - Diploma of Financial Planning - - Deakin University / Financial Planning Association ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional |
| Jeremy Paul Rankin | 2007 | 1996 - Bachelor of Commerce - - University of Newcastle ~ 2005 - Master of Laws - - Macquarie University ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2012 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy |
| Timothy John Egger | 2002 | 1996 - Bachelor of Engineering (Civil) - - University of New South Wales ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2022 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan |