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 |
|---|---|---|
| Alan T Keal | 2002 | 2003 - Diploma of Financial Services (Financial Planning) - - AMP Limited ~ 2005 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Tribeca ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - AMP Financial Planning |
| Christopher Andrew Humphrey | 2008 | 1994 - Bachelor of Commerce - - University of Queensland ~ 2008 - Graduate Diploma of Financial Planning - - FINSIA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Christopher Kirkman | 2014 | 2014 - Diploma of Financial Planning - - Kaplan |
| Clive Malcolm Todd | 2016 | 2016 - RG146 Specialist Self Managed Superannuation Funds - - International Institute of Technology |
| Dixa Vaibhav Gusani | 2023 | 2015 - Bachelor of Commerce (Accounting and Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Frances Katherine Hill | 2018 | 2005 - Bachelor of Business - - Queensland University of Technology ~ 2010 - CPA Program - - CPA Australia ~ 2015 - SMSF Specialist Advisor (SSA) - - The University of Adelaide ~ 2016 - Diploma of Financial Planning - - International Institute of Technology |
| Jason Michael West | 2018 | 2005 - Doctor of Philosophy (PhD) in Finance and Economics - - University of Technology, Sydney ~ 2010 - Graduate Diploma of Financial Planning - - Kaplan ~ 2013 - Graduate Certificate in Biostatistics - - The University of Sydney |
| Tristan Gamack | 2015 | 2012 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - QUT ~ 2016 - Advance Diploma of Financial Planning - - Kaplan ~ 2018 - Tax for Financial Advising - - Kaplan ~ 2019 - Super Concepts & ICFS Specialist SMSF Course - Other - The University of Adelaide ~ 2020 - Ehtics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |