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;
derivatives;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
derivatives;
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 |
|---|---|---|
| Anthony Arthur Kench | 2013 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Economics - Macquarie University ~ Certificate IV Mortgage Broking - Kaplan ~ Fellow - Institute of Actuaries Australia - Institute of Actuaries of Australaia ~ Tax For Financial Advising - Kaplan |
| Anthony James Smith | 2007 | Bachelor of Business (Applied Finance) - University Of Western Sydney ~ Certified Financial Planner - Financial Planning Association of Australia Limited ~ Diploma In Stockbroking - Stockbrokers Association Of Australia |
| Cameron Taylor | 2015 | BBA BA-Psych - Bachelor of Business Administration, Bachelor of Arts Psychology - Macquarie University ~ BBA BA-Psych - Bachelor of Business Administration, Bachelor of Arts – Psychology - Macquarie University ~ Diploma of Financial Planning - Kaplan Professional Education ~ Graduate Diploma of Financial Planning - Kaplan Higher Education ~ Master of Financial Planning - Kaplan Higher Education |
| Damien Skidmore | 2002 | Bachelor of Business - Charles Sturt University ~ Diploma of Financial Planning - Financial Planning Association of Australia Limited |
| David Vincent Hunt | 2000 | Bachelor of Business (Accounting) - Charles Sturt University ~ Chartered Accountant Program - Institute of Chartered Accountants Australia ~ Financial Planning Accreditation Program - PACT Accountants Group |
| Emma Kim Hutchinson | 2018 | Certified Accounting Techinician (UK) - ACCA ~ Diploma of Financial Planning - Kaplan ~ Master of International Business - International College of Management Sydney |
| Ian Smith | 2000 | Bachelor of Commerce (Finance) - University of New South Wales ~ Master of Applied Finance - Macquaire University ~ Master of Economics - Macquaire University |
| Jasmine Katrina Theophile | 2008 | Accredited Aged Care Professional - Aged Care Steps (ACS) Pty Ltd ~ Bachelor of Commerce - University of New South Wales ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Kieran Edward Brown | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Finance & Economics) - University of Wollongong ~ Diploma of Financial Planning - Kaplan Professional |
| Matthew Graeme Oake | 2003 | Bachelor of Science - Macquarie University ~ Diploma of Financial Planning - The Financial Planning Association ~ Graduate Diploma Applied Finance and Investment - The Securities Institute of Australia |
| Natalie Berrell | 2018 | Bachelor of Commerce Finance & Commercial Law - Sydney University ~ Diploma of Financial Planning - Kaplan |
| Raymond Albrighton | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Bachelor of Commerce - University of Wollongong ~ CFP - FPA ~ Diploma of Financial Services (Financial Planning) - Tribeca |
| Regan Isaac | 2009 | AchFP (Associated Chartered Financial Practitioner) - Kaplan Professional ~ Diploma of Financial Planning - International Institute of Technology Pty Ltd (IIT) ~ Graduate Diploma Financial Planning - TAFE Higher Education |
| Thomas Lyon | 2021 | Bachelor of Commerce - Griffith University ~ Ethics and Professionalism in Financial Advice - Kaplan |