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;
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;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron John Caldwell | 2023 | 2017 - Bachelor of Commerce - Bachelor Honours Degree (AQF 8) - University of Wollongong |
| David Wilson | 2008 | 1999 - Bachelor of Management Sciences - - Loughborough University (UK) ~ 2008 - RG146 Diploma level - Tier 1 - - Financial Education Professionals ~ 2014 - Certificate IV in Finance and Mortgage Broking - - Kaplan ~ 2014 - Diploma of Financial Planning - - Kaplan |
| Garth John Cecil | 2015 | 2010 - Bachelor of Accounting - - La Trobe University ~ 2010 - Bachelor of Finance - - La Trobe University |
| Kapil Mistry | 2014 | 2014 - BCom(Intl) - - University of New South Wales ~ 2014 - RG146 - - University of New South Wales ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2019 - Advanced Diploma of Financial Planning - Other - Kaplan |
| Timothy Harold Eustace | 1989 | 1983 - Barchelor of Law - - University of Canterbury ~ 1992 - Diploma of Financial Planning - - Deakin University ~ 1993 - Certified Financial Planner - - Financial Planning Associaton ~ 2010 - RG146 Margin Lending - - Kaplan |
| Winnie Butt | 2010 | 2004 - Bachelor of Economics - - Macquarie Unversity ~ 2012 - Advanced Diploma of Financial Services - - Kaplan ~ 2014 - Certificate IV in Finance and Mortgage Broking - - Kaplan |