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 |
|---|---|---|
| Alan Lake | 1998 | 1998 - Bachelor of Commerce - - University of Western Sydney ~ 1999 - Diploma of Financial Planning - - FPA ~ 2010 - SMSF Specialist Advisor (SSA) - - SMSF Association ~ 2019 - ACS Accredited Aged Care Professional - - Aged Care Steps |
| Andreas Peter Koulouris | 2001 | 1993 - Associate Diploma of Business (Accounting) - - TAFE QLD ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - AMP Limited ~ 2005 - Diploma of Financial Services (Financial Planning) - - AMP Limited ~ 2005 - Self Managed Superannuation Finds - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan |
| Graeme Davy | 2002 | 1998 - Bachelor of business (finance and banking) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2001 - Diploma of financial planning - Advanced Diploma (AQF 6) - Financial Planning Association ~ 2005 - Certified Financial Planner - - FPA ~ 2019 - Ethics and professionalism in financial advice - Bridging Course - Ethics - Kaplan Professional |
| Iain Jeffery | 2002 | 2002 - Bachelor of Science - - UNSW ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2005 - Advanced Diploma of Financial Services - - Kaplan ~ 2005 - Master of Financial Planning - - University of Sunshine Coast ~ 2005 - Master of Financial Planning - - University of the Sunshine Coast ~ 2012 - Certified Financial Planner - - FPA ~ 2018 - Margin Lending - - Kaplan ~ 2018 - Tier 1 Margin Lending - - Kaplan ~ 2019 - Accredited Derivatives Adviser Level 1 - ADA1 - - SAFAA |