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 | 2007 - Bachelor of Business Financial Planning - - Royal Melbourne Insitute of Technology ~ 2011 - master of Applied Finance - - Charles Sturt University |
| Adrian Morley | 2005 | 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2018 - SMSF Core Course - Other - DBA ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Brayden Harkness | 2015 | 2012 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jonathon Pegler | 2003 | 2001 - Certified Financial Planner - - FPA ~ 2001 - Diploma of Financial Planning - - Deakin University |
| Kerrie Jane Hughson | 2017 | 2000 - Bachelor of Commerce - - Deakin ~ 2004 - Chartered Accountant - - ICAA ~ 2017 - RG 146 Financial Planning - - Kaplan |
| Shashan Dinuka Kahingalage Silva | 2022 | 2014 - Diploma of Business - Diploma (AQF 5) - Victoria University ~ 2016 - Bachelor of Business - Bachelor Honours Degree (AQF 8) - Victoria University ~ 2021 - Master of Applied Finance - Masters Degree (AQF 9) - Charles Sturt University |