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;
interests in managed investment schemes limited to:
MDA 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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Amanda Pond | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Fellow Chartered Financial Practitioner - AFA ~ Graduate Diploma Of Financial Planning - Kaplan |
| Franz William Kalchbauer | 2017 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Commerce - University of Wollongong ~ Master of Financial Planning - Kaplan |
| James Gordon Johnstone | 2023 | Accredited Listed Product Adviser Program - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| James Mottram | 2011 | Bachelor Degree - Commerce - University of Wollongong ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Certificate in Financial Planning - FINSIA Education ~ Margin Lending - GWM Adviser Services/Advice Education |
| Jess Ian Boles | 2014 | Accredited Listed Product Adviser Program - Kaplan ~ Bachelor of Commerce - Financial Planning - University of Wollongog ~ Diploma of Business - Tafe NSW ~ Margin Lending - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Jye Victor Marks | 2021 | Bachelor of Commerce - Financial Planning - University of Wollongong ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Matthew John Jones | 2022 | Bachelor of Commerce - Finance & Financial Planning - University of Wollongong ~ Ethics & Professionalism in Financial Advice - Kaplan Professional |
| Michael Misiti | 2000 | Advanced Diploma FP - UTS ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Nathan Steven Bow | 0 | Graduate diploma of Financial Planning - Kaplan |
| Nicholas Adam Wall | 2013 | ASX Accredited Listed Products Adviser (ALPA) Program - KAPLAN ~ Bachelor of Commerce - University of Wollongong ~ Margin Lending - KAPLAN ~ cavendish & ICFS Specialist SMSF Course - CAVENDISH - The University of Adelaide |