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 |
|---|---|---|
| Christopher Mallett | 2014 | 2011 - Bachelor of Commerce (Accountancy) - - University of Wollongong ~ 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Advanced Financial Planning - - Kaplan Professional |
| Judd Steven Clark | 2022 | 2019 - Bachelor of Business - Bachelor Degree (AQF 7) - Griffith University ~ 2019 - Bachelor of Commerce (Finance and Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Luke Poynter | 2015 | 2014 - Diploma in Financial Planning - - Kaplan Professional Education |
| Samuel Kitchen | 2004 | 2001 - Bachelor Of Commerce - - University Of Queensland ~ 2003 - Graduate Diploma in Financial Planning - - Securities Institute of Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2018 - Self Managed Superannuation Funds - - Kaplan Professional Education |