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;
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;
securities; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
deposit and payment products limited to:
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;
securities; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Marc Barry | 2015 | 1999 - Batchelor of Commerce - - University of Wollongong ~ 2002 - Chartered Accountant - - Institute of Chartered Accountants ~ 2004 - Graduate Diploma of Financial Planning - - Securities Institute |
| Adam Nicholson | 2008 | 2004 - Bachelor of Business - - Victoria University ~ 2008 - Diploma of Financial Planning - - Kaplan ~ 2010 - Margin Lending - - Kaplan ~ 2015 - Self Managed Super Fund - - Kaplan ~ 2019 - Ethics and Professional in Financial Advice - Bridging Course - Ethics - Kaplan |
| Gerard Joseph O'shaughnessy | 2007 | 1980 - Bachelor of Economics - - ANU ~ 1987 - Grad Dip Computing - - RMIT ~ 2004 - Grad Diploma in Financial Planning - - Securities Institute ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advie - Bridging Course - Ethics - Kaplan |
| Hayden Health Booth | 2015 | 2006 - Batchelor of Business - - UTS ~ 2009 - Graduate Diploma of Chartered Accounting - - Institute of Chartered Accountants ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2016 - Securities and Managed Investments - - Kaplan |
| Jonathan Wood | 2006 | 2006 - Diploma in Financial Services - - Kaplan |
| Nicholas Pike | 1995 | 1987 - Bachelor of Business(Banking & Finance) - - Monash Uni ~ 2002 - RG 146 - - UTS ~ 2019 - Ethic and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Stewart John Collingwood | 2002 | 1994 - Advanced Diploma of Business Marketing - - Swinburne Institute of Technology ~ 2004 - Advanced Diploma of Financial Planning - - Kaplan ~ 2004 - Diploma of Financial Planning - - Kaplan |