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 | 928 Margin Lending - Knowledge and Skill - Kaplan ~ Bachelor of Commerce - The University of Queensland ~ Diploma of Financial Planning - Mentor ~ Self Managed Superannuation Funds - Kaplan ~ Tax for Financial Advising - Kaplan |
| Daniel Louis Nadal | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Arts - University of Reading (England) ~ Graduate Diploma of Financial Planning - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Marri Elliott | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Diploma Of Financial Planning - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending - Financial Education Pofessionals ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Matthew Scherhag | 2013 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Financial Planning - Griffith University ~ Self Managed Superannuation Fund - International Institute of Technology ~ Tier 1 Specialist Margin Lending - International Institute of Technology |
| Tien Pham | 2012 | Advanced Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Bachelor of Commerce - Griffith University ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Masters of Banking and Finance - Griffith University |
| Zachary Robert Webber | 2015 | Bachelor of Business Management - University of Queensland ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending - Kaplan Professional ~ Master Of Financial Planning - Griffith University ~ Self Managed Super Funds - Kaplan Professional |