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;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; and
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;
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 |
|---|---|---|
| Adam James Douglas | 2016 | 2011 - Bachelor of Business/Bachelor of Economics - Bachelor Degree (AQF 7) - University of Tasmania ~ 2015 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - FPC002B - Bridging Course - Ethics - Kaplan Professional |
| Jonathan Elliot | 1999 | 1998 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Tasmania ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2002 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - FPC002B - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nicholas Justin Davey | 2000 | 2003 - Diploma - Financial Planning - - Financial Planning Association of Australia ~ 2005 - CFP - Certified Financial Planner - - Financial Planning Association of Australia ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Philip Richard Hall | 2003 | 1994 - Bachelor of Education (Hons) - - University of Tasmania ~ 2009 - Self Managed Super Funds - - Kaplan Australia ~ 2014 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan |