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 |
|---|---|---|
| Juliet Catherine Archer | 2000 | 2008 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2016 - Certified Financial Planner - Professional Designations - Financial Advice Association Australia (FAAA) ~ 2016 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Justin James Hooper | 1999 | 1979 - Bachelor of Business Science (with Honours) - - University of Capetown ~ 1998 - Diploma of Financial Planning - - Deakin University ~ 2000 - Certified Financial Planner - - Financial Planning Association ~ 2009 - Registered Life Planner - - Kinder ~ 2011 - Trust and Estate Practitioner - - STEP |
| Oliver James Lawton | 2023 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - SMSF Regulations and Taxation - Graduate Diploma (AQF 8) - Kaplan Professional |
| Suzanne Johnston | 2015 | 1996 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Group ~ 2014 - Cert. of Margin Lending & Cert. of SMSF - Other - Kaplan ~ 2017 - Certified Financial Planner - Professional Designations - Financial Advice Association Australia (FAAA) ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Warren Maxwell Dunne | 2018 | 1989 - Bachelor of Business - - University of Technology ~ 2012 - Diploma of Fiancial Planning - - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan |