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 |
|---|---|---|
| James Douglas Pump | 2007 | 1997 - Bachelor of Commerce - - James Cook University ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Katrina Myree Pump | 2012 | 2011 - Certificate III in Financial Services - - Commonwealth Bank ~ 2012 - Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Kayla Maree Moravcik | 2024 | 2022 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Aged Care - Other - Kaplan |
| Mikhail Damian Fanti | 2013 | 2011 - Bachelor of Business (Accounting/Financial Management) - - James Cook University ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2019 - ASX Listed Product Accreditation (ALPA) - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2024 - SMSF Specialist Adviser - Professional Designations - SMSF Association |
| Zachary Daniel Ryan | 2018 | 2018 - Bachelor of Business (Economics & Financial Management) - Bachelor Degree (AQF 7) - James Cook University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan |