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 | Bachelor of Commerce - University of Wollongong |
| Andrew Macedo Barros | 2009 | Bachelor of Commerce - University of Western Sydney ~ Master of Applied Finance - Macquarie University ~ RG146 Compliance GAP Training Certificate - Macquaire University |
| David Wilson | 2008 | Bachelor of Management Sciences - Loughborough University (UK) ~ Certificate IV in Finance and Mortgage Broking - Kaplan ~ Diploma of Financial Planning - Kaplan ~ RG146 Diploma level - Tier 1 - Financial Education Professionals |
| Garth John Cecil | 2015 | Bachelor of Accounting - La Trobe University ~ Bachelor of Finance - La Trobe University |
| Kapil Mistry | 2014 | Advanced Diploma of Financial Planning - Kaplan ~ BCom(Intl) - University of New South Wales ~ Diploma of Financial Planning - Kaplan ~ RG146 - University of New South Wales |
| Timothy Harold Eustace | 1989 | Barchelor of Law - University of Canterbury ~ Certified Financial Planner - Financial Planning Associaton ~ Diploma of Financial Planning - Deakin University ~ RG146 Margin Lending - Kaplan |
| Winnie Butt | 2010 | Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Economics - Macquarie Unversity ~ Certificate IV in Finance and Mortgage Broking - Kaplan |