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;
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
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Chad Thomas-cook | 2016 | 2005 - Bachelor of Finance - - Newcastle University ~ 2011 - Advanced Diploma of Financial Planning - - Kaplan |
| Chris Klochovski | 2022 | 2016 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Katie Young | 2009 | 2001 - Bachelor of Management - - University of Newcastle ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - Australis College (formerly Intellitrain) |
| Matthew Paul Haggarty | 2004 | 1997 - Certified Financial Planner - - FPA ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2014 - Cavendish & ICFS Specialist SMSF Course - - University of Adelaide |
| Scott George Norrish | 2012 | 2001 - Bachelor of Commerce - - The University of Newscastle Australia ~ 2011 - Financial Services Training Package - - Terra Cordis Pty Limited ~ 2012 - Life Insurance and Skills - - Kaplan Education Pty Limited |