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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; and
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 |
|---|---|---|
| Dean Horwitz | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor Of Economics - Macquarie University ~ Bachelor of Applied Finance - Macquarie University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Master of Economics - Macquarie University |
| Ellen Louise Ferris | 1998 | Bachelor of Economics (Hons) - University of New England ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University/ Financial Planning Association ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Hayden Ronald Witts | 2018 | Advanced Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Bachelor of Commerce (Finance and Accounting) - Macquarie University ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Jerome Paul Chopard | 1985 | Bachelor of Arts - National University of Singapore ~ Graduate Diploma - Securities Institute of Australia ~ Graduate Diploma - Securities Institute of Australia ~ Practice Management Program - The Wharton School of the University of Pennsylvania ~ SMSF Certificate of Completion - KAPLAN |
| Maria Mariel Tiglao | 2018 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ Bachelor of Business - University Of Technology, Sydney |
| Paul Robert Bourgeois | 1985 | Associate SIA - Securities Institute of Australia ~ Bachelor of Economics - University of New England ~ Graduate Diploma - Securities Institute of Australia |
| Rachael DE Vos | 2004 | Bachelor of Business - UTS ~ Chartered Accountant (CA) - Chartered Accountants (ANZ) ~ Diploma of Financial Planning - FPA |
| Sian Jin Ridzuan Chua | 2011 | ADFS (FP) - Kaplan ~ Certified Financial Planner - Financial Planning Association of Australia ~ Chartered Financial Analyst - CFA Institute ~ MSc (Electrical and Computer Engineering) - Carnegie Mellon University ~ Tax for Financial Advising - Kaplan Professional |