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;
interests in managed investment schemes limited to:
MDA 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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Daniel Clint Snelson | 2008 | 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2008 - SMSF - Other - eFinancial Essentials ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Fiona Castle | 2017 | 2013 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2016 - Securities & Managed Investments - - Kaplan Professional Education ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Matthew James Marsh | 2014 | 2010 - Diploma of Commerce - - University of New England ~ 2014 - Graduate Certificate in Financial Services - - University of New England ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2018 - Accredited Aged Care Professional - - Aged Care Steps ~ 2018 - Master of Financial Services - Masters Degree (AQF 9) - University of New England |
| Rebecca O'neill | 0 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Timothy Condon | 2009 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2010 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |