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 |
|---|---|---|
| Alanna Yve Fraser | 2022 | 2019 - Economics - Bachelor Degree (AQF 7) - QUT ~ 2022 - Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Brendon Johnathan Wong | 2006 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2015 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional ~ 2022 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - AAMC Training Group |
| Michael Kevin Stewart | 2003 | 1999 - Certificate III in Business (Office Administration) - - Martin College ~ 2002 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2004 - Certificate in Introductory Mortgage Broking - - FARSTA ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Certificate in DPML Margin Lending - - Pinnacle |