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 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Finance - Newcastle University |
| Chris Klochovski | 2022 | Bachelor of Commerce - University of Newcastle ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Katie Young | 2009 | Bachelor of Management - University of Newcastle ~ Certificate IV in Financial Services (Finance/Mortgage Broking) - Australis College (formerly Intellitrain) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Matthew Paul Haggarty | 2004 | Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Certified Financial Planner - FPA ~ Margin Lending and Geared Investments - Kaplan |
| Scott George Norrish | 2012 | Bachelor of Commerce - The University of Newscastle Australia ~ Financial Services Training Package - Terra Cordis Pty Limited ~ Life Insurance and Skills - Kaplan Education Pty Limited |