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 limited to:
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 |
|---|---|---|
| Anthony Sebastion Castorina | 2015 | Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| April Maree Stagg | 0 | Bachelor of Business - QUT |
| Joshua Tallon | 2018 | Advanced Diploma of Financial Planning FNS60415 - Integrity ~ Diploma of Financial Planning FNS50615 - Integrity ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ RG146 Margin Lending - Integrity |
| Justin Robert Pascoe | 2002 | Bachelor of Commerce - James Cook University ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma in Financial Planning - Securities Institute of Australia |
| Mark Allan Spicer | 2005 | CPA - CPA ~ Postgraduate Diploma in Financial Planning - Kaplan |
| Timothy Russell Klingner | 2013 | ASX Accredited Listed Product Adviser Program - Kaplan ~ Bachelor of Business Administration - Southern Cross University ~ Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |