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 |
|---|---|---|
| Andrew Russell | 2018 | 2013 - Master of Professional Accounting - - Southern Cross University ~ 2015 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Christopher James Davis | 2008 | 1997 - Bachelor of Commerce - - Newcastle University ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2017 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Craig Sawyer | 1996 | 2005 - Diploma of Financial Planning - - Deakin University ~ 2010 - Self Managed Superannuation Funds - - Financial Essentials ~ 2011 - Certified Financial Planner - - Deakin University |
| Damien Charles Gilbert Passmore | 2007 | 1998 - Bachelor of Commerce - - University of Newcastle ~ 2001 - Chartered Accountant Program - - Institute of Chartered Accountants Australia ~ 2007 - Graduate Certificate in Financial Planning - - FINSIA |
| David Henriksen | 2016 | 2014 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2017 - Securities and Managed Investments - - Kaplan Professional Education |
| Jarryd Damien Brennan | 2022 | 2012 - Commerce - Bachelor Degree (AQF 7) - University of Newcastle ~ 2018 - Chartered Accountant - Professional Designations - CAANZ ~ 2020 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Luke James Kelly | 2012 | 2008 - Bachelor of Commerce (Finance and Economics) - - University of Wollongong ~ 2011 - Diploma of Financial Services (Financial Planning) - - International Institute of Technology ~ 2014 - FNS60410 Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2016 - Self Managed Superannuation Funds - - Kaplan ~ 2017 - FChFP - Fellow Chartered Financial Practitioner - - AFA |
| Mark William Folpp | 2013 | 2013 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Matthew Robert Weeks | 0 | 2020 - Business - Bachelor Degree (AQF 7) - The University of Newcastle ~ 2023 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan |