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 |
|---|---|---|
| Brett Stanley Ellis | 2010 | Diploma of Financial Services (Financial Planning) - AAMC Training Group |
| Leanne Joy Moir | 2002 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Financial Adviser Exam - ASIC ~ Self Managed Superannuation Funds - Tribeca ~ TASACLv1 Commercial Law - Kaplan |
| Luke Elden Smith | 2010 | Bachelor of Business (Finance) - Edith Cowan University ~ Diploma of Financial Services (Financial Planning) - RG 146 Training Australia ~ Margin Lending & Geared Investments - Kaplan Professional ~ Master of Applied Finance - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional |
| Mark Andrew Moir | 2018 | Diploma of Financial Planning - Kaplan |
| Peter John Martinovich | 1986 | Bachelor of Business - Edith Cowan University ~ Bachelor of Business - Edith Cowan University ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Graduate Diploma in Applied Finance and Investment - Securities Institute ~ Graduate Diploma in Applied Finance and Investment - Securities Institute |
| Troy Hart | 2012 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business - Edith Cowan University ~ Certified Financial Planner - Financial Planning Association ~ Masters of Professional Accounting - Murdoch University ~ Self Managed Superannuation Funds - Kaplan |