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 |
|---|---|---|
| Bryce Jonathan Collins | 1999 | Bachelor of Business - Swinburne Institute of Technology ~ Certified Financial Planner - Deakin University/ Financial Planning Association ~ Diploma of Financial Planning - Deakin University/ Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Christopher Michael Wright | 2018 | Graduate Diploma of Financial Planning - KAPLAN ~ Master of Financial Planning - KAPLAN ~ SELF MANAGED SUPERANNUATION FUNDS - KAPLAN ~ TASACLV1 COMMERCIAL LAW - KAPLAN ~ TIER 1 MARGIN LENDING PERSONAL ADVICE - KAPLAN |
| Denis James Heenan | 2004 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self Managed Superannuation Fund - Kaplan |
| Jason Birch | 2008 | Bachelor of Commerce - University of Western Sydney ~ Chartered Accountants Program - The Institute of Chartered Accountants ~ Diploma of Financial Services - Finsia ~ MARGIN LENDING - KAPLAN ~ SELF MANAGED SUPER FUND ACCREDITED - KAPLAN |
| Julie-ann Dougherty | 2007 | ASX Securities - Kaplan ~ Diploma of Financial Services (FP) - Kaplan ~ Self Managed Super Fund Course - Financial Essentials |
| Mark Carroll | 1998 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Margin Lending - MLC ThreeSixty |
| Naomi Margaret Thompson | 2002 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Kaplan |
| Paul Tarasenko | 2000 | ASX Securities - Kaplan ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Margin Lending - Kaplan ~ Self Managed Super Fund Course - Tribeca |
| Raymond William Gale | 2007 | Bachelor of Commerce - Deakin University ~ Master of Commerce - Deakin University ~ SMSF Knowledge - Monarch Institute |
| Sean Browning | 2006 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional |