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 |
|---|---|---|
| Aaron Joseph Downey | 2000 | 1999 - Bachelor of Commerce - - University of Canberra ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2015 - Advanced Diploma Of Financial Planning - - Kaplan Professional Education ~ 2016 - Diploma of Financial Planning - - Kaplan Professional Education |
| Benjamin Bryce Miller | 2002 | 2002 - Bachelor of Business (Business Management) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 2005 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Assocation of Australia ~ 2009 - Certified Financial Planner (5units) - Professional Designations - Financial Planning Assocation of Australia ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Brendan Doherty | 2007 | 2005 - Bachelor of Applied Economics - - University of Canberra ~ 2005 - Bachelor of Management - - University of Canberra ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca Learning (Kaplan Professional) ~ 2006 - Diploma of Financial Services (Financial Planning) - - FINSIA Education (Kaplan Professional) ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional |
| Christopher John Watson | 2012 | 2006 - Diploma of Financial Services (Financial Planning) - - Kaplan (formerly FINSIA) ~ 2014 - Master of Applied Finance - - Kaplan Professional |
| Helmut Sergj Bold | 2000 | 2003 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Integratec ~ 2003 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Integratec ~ 2007 - Self Managed Super Funds - - Kaplan Professional ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional |
| Matthew William Tuson | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2011 - Margin Lending & Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Griffith University |
| Nicholas Lucey | 2013 | 2012 - Bachelor of Applied Economics - - University of Canberra ~ 2012 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional |
| Taofiq Tanim | 2008 | 2002 - Bachelor of Commerce (Economics and Finance) - - The University of Western Sydney ~ 2004 - Master of Business - - Victoria University of Technology ~ 2008 - Dilploma of Financial Services (Financial Planning) - - Finsia ~ 2017 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional |
| Troy Joseph Dawe | 2018 | 2018 - Bachelor of Finance - - University of Canberra ~ 2018 - Certificate IV in Financial Services (Mortgage Broking) - - Kaplan Professional ~ 2019 - Diploma of Finance and Mortgage Broking Management - - Kaplan Professional |