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);
standard margin lending facility; and
superannuation; and
provide general financial product advice for the following classes of financial products:
securities; 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 |
|---|---|---|
| Ashley Hann | 1996 | 1999 - Diploma of Financial Markets - - Securities Institute/Finsia ~ 2012 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2012 - Margin Lending - - Kaplan Professional ~ 2018 - FCHFP - Professional Designations - Kaplan |
| Elizabeth Maree Trotter | 2007 | 2011 - Taxation Planning - - Kaplan Professional ~ 2012 - Diploma of Financial Services - - Pinnacle Financial Services Academy ~ 2014 - Diploma of Counselling (Financial) - - National Education Academy Pty Ltd ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| Ellie Patrice Mills | 2018 | 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Garry Darryl Copeland | 2013 | 2010 - Advanced Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) ~ 2020 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |