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 |
|---|---|---|
| Bruce Kevin Grieve | 2007 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Port Elizabeth ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education Pty Ltd ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education Pty Ltd |
| Joshua Edward Drake | 2000 | 1994 - Bachelor of Commerce - - University of Newcastle ~ 2003 - PS146 Knowledge Assessment - - Integratec ~ 2007 - Certified Financial Planner - - Financial Planning Association of Australia |
| Karen Louise Faehndrich | 2003 | 2002 - Bachelor of Economics - - University of Newcastle ~ 2003 - Bachelor of Business - - University of Newcastle ~ 2006 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2014 - Certified Financial Planner - - Deakin University |
| Lydia Blakemore | 2010 | 2007 - Bachelor of Business - - University of Newcastle ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2011 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education |
| Mark Robert Alexander | 1996 | 1998 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 1999 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2009 - Master of Business Administration - - University of Melbourne |
| Matthew Douglas Kerr | 2000 | 1994 - Bachelor of Commerce - - University of Newcastle ~ 1999 - Certified Financial Planner - Professional Designations - Financial Advice Association Australia ~ 2001 - CA Financial Planning Specialist - Professional Designations - Chartered Accountants Australian and New Zealand ~ 2005 - SMSF Specialist Adviser (SSA) - Professional Designations - Self-Managed Super Fund Association ~ 2011 - Industry Standard Education - RG146 specialist knowledge - - Financial Planning Association of Australia (FPA) |
| Tim Deamer | 1994 | 1998 - Diploma of Financial Planning - - Deakin University ~ 1999 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2003 - Master of Commerce (Financial Planning) - - University Of Western Sydney ~ 2010 - SMSF Specialist Adviser - - SMSF Professionals' Association of Australia |
| Todd Craig Woods | 2024 | 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |