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 |
|---|---|---|
| Adam John Lomas | 2016 | 2002 - Bachelor of Commerce (Financial Planning and Investments) - - Griffith University ~ 2011 - Diploma of Share Trading and Investment - - Wealth Within Institute ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Ltd |
| Joshua William Mashman | 2006 | 2002 - Bachelor of Business - - Southern Cross University (SCU) ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2011 - Margin Lending and Geared Investments - - Kaplan |
| Thomas James Davies | 0 | 2019 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2022 - Graduate Certificate of Financial Planning - Graduate Certificate (AQF 8) - Kaplan ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |