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;
derivatives;
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;
derivatives;
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 |
---|---|---|
Andrew John Albury | 2002 | Bachelor of Business - University of New England ~ Chartered Tax Adviser - Taxation Institute of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Fellow of CPA - CPA Australia ~ Foundation DFP - FPA |
Collin James Fox | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business - Griffith University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending - Kaplan Professional |
Ian William Fraser | 0 | Bachelor of Business - James Cook University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
James Alexander Guthrie | 2018 | Bachelor of Business and Commerce - University of Southern Queensland ~ Monarch Institute - Diploma of Financial Planning |
Jessica Dawn Harris | 2021 | Bachelor of Commerce (Financial Planning) - Griffith University |
John Charles Barton | 1994 | Bachelor of Economics - UQ ~ Certificate in Banking - University of Southern Queensland ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Dip. In Marketing - Royal Melbourne Insitute of Technology ~ Master of Business Adminsitration - Royal Melbourne Insitute of Technology |
Michelle Dall'alba | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Bachelor of Business (Management)/Bachelor of Economics - The University of Queensland ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance - Kaplan Professional ~ Margin Lending & Geared Investments Accreditation - Kaplan Professional |
Natalie Hoh | 2016 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - Deakin University ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
Peter Joseph Cottell | 2007 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Associate Diploma of Business (Banking and Finance) - TAFE ~ Associate Diploma of Business (Banking and Finance) - TAFE ~ Bachelor of Business (Economics) - University of Southern Queensland ~ Bachelor of Business (Economics) - University of Southern Queensland ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia |
Rachel Barlow | 1994 | Bachelor of Business - University of Southern Queensland (USQ) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia ~ Margin Lending and Geared Investments Accreditation - Kaplan Professional ~ Specialist SMSF Course - Cavendish |
Richard Marsden | 1995 | BA (Hons) - UQ ~ Diploma of Financial Planning - RMIT ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma Applied Finance & Investment - Securities Institute of Australia |
Ronald Ming Wah Cheung | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca Learning (Aust) Pty Limited ~ Bachelor of Business - Queensland University of Technology ~ Diploma of Financial Services (Financial Planning) - Tribeca Learning (Aust) Pty Limited ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
Stephen Joseph Furness | 2008 | Accredited Investment Fiduciary - Fi360 Pacific ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Responsible Manager Accreditation - Kaplan Professional Education ~ SMSF Specialist - Kaplan Professional Education |
Stephen Richard Aldridge | 2000 | Bachelor of Business (Management) - Queensland University of Technology ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
Susan Clarke | 2014 | Diploma Life Insurance - Australian & New Zealand Institute of Insurance & Finance ~ Diploma of Financial Services (General Insurance) - Australian & New Zealand Institute of Insurance & Finance |