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 |
|---|---|---|
| David Hodge | 2000 | Bachelor of Business (Accounting) - Charles Sturt University ~ DFS: Introductory Training Course - Count ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending & Geared Investments - Kaplan Professional |
| Emily Butt | 2015 | Bachelor of Business (Accounting and Financial Planning) - Charles Sturt University ~ Diploma of Financial Planning - Mentor Education ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Gavin Michael Lamb | 2002 | Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending - Kaplan Professional ~ Self Managed Super Funds - Kaplan Professional |
| Jessica Anne O'keeffe | 2023 | Diploma of Finance & Mortgage Broking - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Peter Hastie | 2008 | Advanced Diploma of Financial Services(Financial Planning) - Kaplan Professional ~ Advice in Margin Lending - MLC ~ Certificate IV in Finance & Mortgage Broking - Kaplan Professional ~ Post Graduate Certificate in Financial Planning - Financial PlanningCharles Sturt University ~ Self Managed Superannuation Funds - Kaplan Professional |