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 |
|---|---|---|
| Anthony John Walker | 1996 | 1994 - Bachelor of Economics - - The University of Queensland ~ 2004 - Diploma of Financial Planning - - FPA ~ 2010 - Self Managed Superannuation Funds - - Kaplan ~ 2012 - Margin Lending and Geared Investments - - Kaplan ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan |
| Christopher Young | 2022 | 2020 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - USC Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Self Managed Superannuation Funds - Graduate Certificate (AQF 8) - Kaplan Professional |
| Fergus Mccarthy | 0 | 2020 - Bachelor of Commerce (Accounting & Fin Planning) - Bachelor Degree (AQF 7) - University of the Sunshine Coast ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Shaun Gort | 2015 | 2012 - Bachelor of Business - Bachelor Degree (AQF 7) - Victoria University ~ 2014 - Certificate IV in Finance and Mortgage Broking - - Kaplan ~ 2015 - ASX Lister Product Adviser - - Kaplan ~ 2017 - SMSF Specialist Adviser - - SMSF Association |