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;
derivatives;
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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
derivatives;
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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Antony Jon Whipp | 2004 | B Business - Charles Sturt University ~ Certified Financial Planner - Financial Planning Association ~ FASEA (Financial Adviser) Exam - FASEA ~ SMSF - Kaplan ~ SMSF Adviser - The Strategist Group |
| Bailey Whitaker Engel | 2021 | Bachelor of Business - University of Newcastle ~ Bachelor of Commerce - University of Newcastle ~ Graduate Diploma of Financial Planning - Kaplan |
| Bradley Ronald Hodge | 2002 | Bachelor of Economics - Macquarie University |
| Lee Anthony Clarke | 1991 | CFP - Deakin University |
| Matthew Joel Bacon | 2009 | CFP - Deakin University |
| Mona Moorjani | 2013 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology ~ Master of Financial Planning - Kaplan Professional Education |
| Richard Algis Navakas | 1985 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Robert John Purcell | 1987 | Bachelor of Commerce - University of Newcastle ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Estate Planning 6 Day Course - University of Technology Sydney ~ Qualified Chartered Accountant - Institute of Chartered Accountants in Australia |
| Stephen John Barratt | 2002 | Certificate in Applied Self Managed Super Fund Advice - Australian Executor Trustees ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Thomas Montgomery Moore | 2012 | Bachelor of Business and Bachelor of Commerce - Newcastle University ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan |