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 |
|---|---|---|
| Franz William Kalchbauer | 2017 | 2011 - Bachelor of Commerce Financial Planning - Bachelor Degree (AQF 7) - University of Wollongong ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| James Gordon Johnstone | 2023 | 2017 - Bachelor of Commerce, Accountancy and Finance - Bachelor Degree (AQF 7) - University of Wollongong ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - Margin Lending Specialist - Other - Kaplan Professional |
| James Mottram | 2011 | 2008 - Bachelor of Commerce Economics - Bachelor Degree (AQF 7) - University of Wollongong ~ 2008 - Graduate Certificate of Financial Planning - Graduate Certificate (AQF 8) - FINSIA ~ 2010 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2011 - CFP Certification Program - Professional Designations - Financial Planning Association of Australia ~ 2011 - Provide advice in Margin Lending - Other - GWM Adviser Services Ltd T/A Advice Education ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jess Ian Boles | 2014 | 2011 - Bachelor of Commerce Financial Planning - Bachelor Degree (AQF 7) - University of Wollongong ~ 2015 - Tier 1 Margin Lending - Personal Advice - Other - Kaplan Professional ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jye Victor Marks | 2021 | 2017 - Bachelor of Commerce - Financial Planning - Bachelor Degree (AQF 7) - University of Wollongong ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2019 - Teir 1 Margin Lending Personal Advice - Other - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Kyle John Del | 0 | 2020 - Bachelor of Commerce, Finance and Financial Planning - Bachelor Degree (AQF 7) - University of Wollongong, Australia |
| Matthew John Jones | 2022 | 2017 - Bachelor of Commerce - Finance & Financial Planning - Bachelor Degree (AQF 7) - University of Wollongong ~ 2019 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Margin Lending Specialist - Other - Kaplan Professional |
| Michael Misiti | 2000 | 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca Learning ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nathan Steven Bow | 2024 | 2023 - Graduate diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Nicholas Adam Wall | 2013 | 2010 - Bachelor of Commerce Financial Planning and Management - Bachelor Degree (AQF 7) - University of Wollongong ~ 2013 - Cavendish & ICFS Specialist SMSF Course - Other - The University of Adelaide International Centre for Financial Services ~ 2014 - 928 Margin Lending - Knowledge & Skills - Other - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |