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 |
|---|---|---|
| Alexandria Thomaschuetz | 2006 | Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Economic and Legal Context for Financial Planning - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education ~ Taxation for Financial Planning - Kaplan Professional Education |
| David Marginson | 2012 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Commerce - University of Melbourne ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Master of Business Administration - University of Melbourne ~ Tax for financial advising DFP5v4 - Kaplan Professional |
| Donald Maxwell Jeffers | 1980 | Certified Financial Planner (Special Entry 'A') - Financial Planning Association ~ Certified Investment & Financial Adviser (Distinction) - Australian Society of Investment & Financial Advisors Ltd ~ Diploma of Financial Planning - RMIT ~ Self Managed Superannuation Fund Adviser Course - The Strategist Group ~ Senior Associate - Financial Planning Association |
| Jonathan Brent Young | 2018 | Bachelor of Commerce (Accounting) - University of Cape Town ~ Diploma of Financial Planning - Monarch Institute ~ Postgraduate Diploma in Accounting - University of Cape Town ~ SMSF Specialist Adviser (SSA) - SMSF Association ~ Taxation for Financial Planning - Kaplan Professional |
| Justin Ishac | 2017 | Bachelor of Economics (Economics and Finance) - University of New South Wales ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional Education ~ Master of Financial Planning - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Naomi Rosenthal | 2004 | Bachelor of Arts (Psychology) - Macquarie University ~ Diploma of Financial Services FNB50199 - Commonwealth Bank of Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Securities Institute Australia (SIA) ~ Masters of Applied Finance (Financial Planning) - Kaplan Professional |
| Yosha Steeghs-doorn | 2010 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business (Graduated with Distinction) - Queensland University of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Self Managed Superannuation Funds Program - Kaplan Professional |