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 | Advanced Diploma Of Financial Planning - Kaplan Professional Education ~ Bachelor of Commerce - University of Canberra ~ Diploma of Financial Planning - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Benjamin Bryce Miller | 2002 | Bachelor of Business (Business Management) - Charles Sturt University ~ Certified Financial Planner (5units) - Financial Planning Assocation of Australia ~ Diploma of Financial Planning - Financial Planning Assocation of Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Brendan Doherty | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca Learning (Kaplan Professional) ~ Advanced Diploma of Financial Services (Financial Planning) - Tribeca Learning (Kaplan Professional) ~ Bachelor of Applied Economics - University of Canberra ~ Bachelor of Applied Economics - University of Canberra ~ Bachelor of Management - University of Canberra ~ Bachelor of Management - University of Canberra ~ Diploma of Financial Services (Financial Planning) - FINSIA Education (Kaplan Professional) ~ Diploma of Financial Services (Financial Planning) - FINSIA Education (Kaplan Professional) ~ Margin Lending & Geared Investments - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional |
| Christopher John Watson | 2012 | Diploma of Financial Services (Financial Planning) - Kaplan (formerly FINSIA) ~ Master of Applied Finance - Kaplan Professional |
| Daniel Lawton | 2011 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Finance and Mortgage Broking Management - International Institute of Technology Pty Ltd (IIT) ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) |
| Helmut Sergj Bold | 2000 | Advanced Diploma of Financial Services (Financial Planning) - Integratec ~ Diploma of Financial Services (Financial Planning) - Integratec ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Super Funds - Kaplan Professional |
| Matthew William Tuson | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Certificate in Financial Planning - Griffith University ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Nicholas Lucey | 2013 | Bachelor of Applied Economics - University of Canberra ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional |
| Sukumar Mishra | 2023 | Bachelor of Commerce - The Australian National University ~ Masters of Professional Accounting - University of Canberra |
| Taofiq Tanim | 2008 | Bachelor of Commerce (Economics and Finance) - The University of Western Sydney ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Dilploma of Financial Services (Financial Planning) - Finsia ~ Master of Business - Victoria University of Technology |
| Troy Joseph Dawe | 2018 | Bachelor of Finance - University of Canberra ~ Certificate IV in Financial Services (Mortgage Broking) - Kaplan Professional ~ Diploma of Finance and Mortgage Broking Management - Kaplan Professional |