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 |
|---|---|---|
| Adam Peter Smith | 2008 | Bachelor of Business Financial Planning - Royal Melbourne Insitute of Technology ~ master of Applied Finance - Charles Sturt University |
| Adrian Morley | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan ~ SMSF Core Course - DBA |
| Brayden Harkness | 2015 | Bachelor of Commerce in Financial Planning with Honours - Macquarie University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Jonathon Pegler | 2003 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - Deakin University |
| Kerrie Jane Hughson | 2017 | Bachelor of Commerce - Deakin ~ Chartered Accountant - ICAA ~ RG 146 Financial Planning - Kaplan |
| Shashan Dinuka Kahingalage Silva | 2022 | Bachelor of Business - Victoria University ~ Diploma of Business - Victoria University ~ Master of Applied Finance - Charles Sturt University |