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;
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;
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 |
|---|---|---|
| Charles Douglas Tritton | 2018 | 2013 - Bachelor of Commerce - - The University of Queensland ~ 2014 - Diploma of Financial Planning - - Mentor ~ 2016 - Tax for Financial Advising - - Kaplan ~ 2017 - 928 Margin Lending - Knowledge and Skill - - Kaplan ~ 2017 - Self Managed Superannuation Funds - - Kaplan |
| Daniel Louis Nadal | 2015 | 2003 - Bachelor of Arts - - University of Reading (England) ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |
| Marri Elliott | 2015 | 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2015 - Diploma Of Financial Planning - - Kaplan Professional Education ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2018 - Margin Lending - - Financial Education Pofessionals ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Matthew Scherhag | 2013 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology ~ 2014 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2015 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2016 - Self Managed Superannuation Fund - - International Institute of Technology ~ 2016 - Tier 1 Specialist Margin Lending - - International Institute of Technology ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Tien Pham | 2012 | 2004 - Bachelor of Commerce - - Griffith University ~ 2006 - Masters of Banking and Finance - - Griffith University ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Education Pty Ltd |
| Zachary Robert Webber | 2015 | 2011 - Bachelor of Business Management - - University of Queensland ~ 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Margin Lending - - Kaplan Professional ~ 2017 - Master Of Financial Planning - - Griffith University ~ 2017 - Self Managed Super Funds - - Kaplan Professional |