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:
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;
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 clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Campbell Richard Wallace | 2018 | 2013 - Bachelor of Business (Management) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Cecilia Christodoulou | 2005 | 2001 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2008 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| James Peter Colin Brown | 2018 | 2015 - Bachelor of Commerce (Financial Planning & International Business) - - University of Wollongong |
| Stuart Lachlan Wemyss | 2004 | 1996 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 1999 - Professional Year - Professional Designations - Chartered Accountants Australia & New Zealand ~ 2001 - Graduate Diploma of Applied Financial & Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia (now Kaplan) ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Investment Banking Institute ~ 2005 - Diploma of Financial Services (Mortgage Broking) - Diploma (AQF 5) - PLAN Connect |