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;
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;
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 |
|---|---|---|
| Emily Butt | 2015 | 2013 - Bachelor of Business (Accounting and Financial Planning) - - Charles Sturt University ~ 2016 - Diploma of Financial Planning - - Mentor Education ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Gavin Michael Lamb | 2002 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2014 - Self Managed Super Funds - - Kaplan Professional ~ 2015 - Margin Lending - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jessica Anne O'keeffe | 2023 | 2012 - Diploma of Finance & Mortgage Broking - Diploma (AQF 5) - Kaplan ~ 2012 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Peter Hastie | 2008 | 2011 - Advanced Diploma of Financial Services(Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2011 - Advice in Margin Lending - Diploma (AQF 5) - MLC ~ 2012 - Post Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Financial PlanningCharles Sturt University ~ 2013 - Certificate IV in Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - Advanced Diploma (AQF 6) - Kaplan Professional |