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;
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;
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 |
|---|---|---|
| Benjamin Charles Coombe | 2014 | 2007 - Diploma Financial Services - - Tribeca ~ 2010 - Bachelor of Commerce Majoring in Financial Planning - Bachelor Degree (AQF 7) - Curtin University |
| Bradley Dudumas | 2009 | 1999 - Bachelor of Commerce - - Curtin University ~ 2005 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Planning - - Kaplan Professional Education |
| Brendon Read | 2004 | 2004 - Bachelor of Commerce (Financial Planning) - - Curtin University ~ 2011 - Certified Financial Planner - - Deakin University ~ 2016 - Self Managed Superannuation Funds - - Mentor Education |
| Brodie Martin | 2012 | 2011 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Online Higher Education ~ 2017 - Self Managed Superannuation Fund - - Mentor Education ~ 2018 - Aged Care Accreditation - - Aged Care Steps |
| Gavin Paul Smith | 2007 | 1996 - Financial Planning Certificate - - Chartered Insurance Institute UK ~ 2001 - Certified Financial Planner - - FPA ~ 2001 - Diploma of Financial Planning - - Deakin University ~ 2017 - Master of Business Administration - - Australian Institute of Business |
| Stephen John Horsten | 2005 | 2005 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education |
| Tynaya Ashley Letizia Deane-johns | 0 | 2024 - Business (Financial Planning) - Bachelor Degree (AQF 7) - University of South Australia |