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 |
|---|---|---|
| Glenda Lee Thomas | 2010 | 2008 - Diploma of Financial Services - Diploma (AQF 5) - Kaplan ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2013 - Self Managed Superannuation Funds - Other - Kaplan ~ 2019 - ALPA - Other - Kaplan |
| Matthew Katon | 2007 | 2012 - SMSF - Other - Kaplan ~ 2019 - ALPA - Other - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Shannon Brown | 2016 | 2012 - Diploma Of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2013 - Advanced Diploma Of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2013 - Self Managed Super Fund - Other - Kaplan ~ 2014 - Accredited Listed Product Adviser Program - Other - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Todd Cockshutt | 2001 | 1994 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Tasmania ~ 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan ~ 2013 - Margin Lending - Other - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |