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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron Charles Jupp | 2008 | Bachelor of Commerce - Newcastle University ~ Chartered Accountant - Institute of Chartered Accountants ~ Graduate Certificate Financial Planning - Kaplan |
| Daniel William John Wood | 2018 | Bachelor of Commerce - University of Newcastle ~ CA Program / Graduate Diploma - Institute of Accountants in Australia ~ RG 146 Compliant Superannuation Course - Monarch Institute |
| David John Minehan | 2001 | Bachelor of Commerce - Newcastle University ~ Certified Financial Planner (CFP) - Financial Planning Association ~ Diploma of Financial Planning - Deakin University |
| Jaye Ian Mankelow | 2018 | Bachelor of Commerce - Newcastle University ~ Graduate Certificate in Financial Planning - Charles Sturt University ~ Graduate Diploma Chartered Accounting - Chartered Accountants Australia and New Zealand ~ Master of Applied Finance (Financial Planning) - Charles Sturt University |
| Nicholas James Grayson | 2000 | Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Nikhil Flavian Dsouza | 2022 | Master of Commerce (Extension) - University of NSW ~ Master of Financial Planning - University of NSW ~ SMSF Specialist Advisor - SMSF Association |