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;
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;
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;
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 |
|---|---|---|
| Brendan John Dilworth | 2023 | 2022 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology |
| Christian Hammerle | 2016 | 2008 - Bachelor of Business Management - - Griffith University ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2016 - Self Managed Superannuation Funds Subject - - Kaplan Professional ~ 2017 - FNSTPB506 & FNSTPB507 - - Monarch Institute |
| Dean Smith | 2011 | 2010 - Diploma of Financial Services - - Kaplan ~ 2011 - ADA Level 1 - - Kaplan ~ 2011 - ADA Level 2 - - Kaplan |
| Frances Caba Griffin | 2015 | 2015 - Diploma of Financial Planning - - Kaplan |
| John Whelan | 2009 | 1981 - Bachelor of Business Studies - - Massey University NZ ~ 1995 - Diploma of Business Studies (Personal Financial Planning) - - Massey University NZ ~ 2002 - PS 146 Securities,Futures & Managed Investments - - Deakin University ~ 2002 - PS 146 Superannuation - - Securities Institute ~ 2010 - Professional Diploma in Stockbroking - - Deakin Prime |
| Kevin Andrew Wishart | 2017 | 2017 - Diploma of Financial Planning - - Pinnacle Financial Services Academy ~ 2023 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University |
| Vaughn Jerik Ruidera Buendicho | 2016 | 2012 - Bachelor of Commerce - - Griffith University ~ 2016 - Diploma of Financial Planning - - Pinnacle Financial Services Academy |