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 |
|---|---|---|
| Benjamin Andrew Viktor Learmonth | 0 | 2022 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - UOW ~ 2023 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Glen Belcher | 2018 | 2014 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Monarch Institute ~ 2017 - Bachelor Commerce (Finance) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2017 - CFP4(A)Investment Strategies - Professional Designations - FAAA ~ 2017 - Tax for Financial Advising, Estate Planning - Other - Kaplan Professional ~ 2018 - CFP1(A)FPA Professionalism - Professional Designations - FAAA ~ 2019 - CFP2(A)Applied Strategies 1 - Professional Designations - FAAA ~ 2020 - CFP3(A)Applied Strategies 2 - Professional Designations - FAAA ~ 2020 - Tier 1 Margin Lending - Diploma (AQF 5) - Kaplan Australia ~ 2021 - FPCCertification - Professional Designations - FAAA ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jack Dylan Vaughan | 0 | 2022 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Wollongong ~ 2022 - Bachelor of Laws - Bachelor Degree (AQF 7) - University of Wollongong ~ 2023 - MAI769 Ethics for Financial Services - Bridging Course - Ethics - Deakin Business School |
| Nicholas James Pleski | 2015 | 2012 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2012 - Diploma of Financial Services - Diploma (AQF 5) - University of Wollongong ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Paul Anthony Rawson | 1983 | 1998 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2003 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) |