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;
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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Timothy Price | 2001 | 1996 - Bachelor Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 1999 - CA Chartered Accountant - Professional Designations - Chartered Accountant ~ 2017 - Diploma of Financial Planning FNS50615 - Diploma (AQF 5) - Mentor Education Group |
| Kurt Purkiss | 2008 | 2009 - Diploma of Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2010 - DPML RG146 Margin Lending - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2011 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2014 - Master of Business - Masters Degree (AQF 9) - University of Newcastle ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Lachlan Donald Ashelford | 2010 | 2006 - Bachelor Commerce (Accounting Finance) - Bachelor Degree (AQF 7) - Deakin University ~ 2013 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan Australia ~ 2016 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Australia |
| Lauren Maree Smith | 2018 | 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Sheree Teneile King | 2024 | 2023 - Bachelor of Business - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |