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;
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:
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;
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 |
|---|---|---|
| Brett Wing | 1996 | 2001 - Diploma of Financial Markets - - Securities Institute Education ~ 2002 - Diploma of Financial Advising - - Securities Institute Education ~ 2006 - Financial Plan Construction & Review - - Tribeca ~ 2009 - CFP Certification Program - Certificate (AQF 1-4) - Financial Planning Association of Australia Limited ~ 2009 - MFAA Equipment Finance Pack - - Mortgage & Finance Association of Australia ~ 2011 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional ~ 2018 - Strategic Leadership Program - - Stanford University Graduate School of Business ~ 2025 - Commercial Law - Certificate (AQF 1-4) - Kaplan Professional |
| Krystal Nicole Day | 2018 | 2018 - Tier 1 Generic Knowledge - - Kaplan Professional ~ 2018 - Tier 1 Life Insurance - Personal Advice - - Kaplan Professional |
| Mark Matejczuk | 2017 | 2015 - Bachelor of Financial Advising - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2018 - Provide advice in margin lending - Other - Monarch Institute ~ 2018 - Provide advice in self-managed superannuation funds - Other - Monarch Institute ~ 2022 - Economic and Legal Context for Financial Planning - Other - Kaplan Professional ~ 2023 - Taxation for Financial Planning - Other - Kaplan Professional |
| Nicolas Clark | 2015 | 2014 - Foundations of Financial Planning Part A: Generic Knowledge - - KAPLAN Professional Education ~ 2014 - Foundations of Financial Planning Part B: Financial Planning - - KAPLAN Professional Education ~ 2014 - Superannuation and Retirement Planning - - KAPLAN Professional Education |