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 |
|---|---|---|
| Giles Stratford | 2005 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments/Margin Lending - - Kaplan Professional ~ 2016 - Master of Financial Planning - - Kaplan Professional |
| Joel Sean Carty | 2005 | 2004 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca Learning (Aust) Pty Ltd ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca Learning (Aust) Pty Ltd ~ 2007 - Master of Financial Planning - Masters Degree (AQF 9) - University of the Sunshine Coast ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Pty Ltd ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Scott Daniel Quinlan | 2008 | 2002 - Bachelor of Commerce - - University of Newcastle ~ 2007 - Master of Financial Planning - - Griffith University |
| Stephen Horton | 2008 | 2006 - Bachelor of Commerce (Accounting) - - University of Queensland ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional (formerly Tribeca) ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional |