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 |
|---|---|---|
| Andrew Mark Stewart | 2003 | Bachelor of Commerce - Griffith University |
| Benjamin William Hancock | 2003 | Certified Financial Planner - FPA ~ Master of Business Administration (MBA) - University of Southern Queensland (USQ) ~ Master of Financial Planning - University of the Sunshine Coast ~ Master of Professional Accounting (Extended) - University of Southern Queensland (USQ) |
| David Raymond Peck | 1993 | Accredited Listed Product Adviser Program - Kaplan Professional ~ CFP - FPA ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Declan James Robert Baker | 2015 | Bachelor of Commerce (Financial Planning) - University of Sunshine Coast ~ Diploma of Financial Planning - Kaplan |
| Jeremy Zalman Chiel | 2010 | Bachelor of Commerce - Griffith University ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - Kaplan ~ Diploma of Margin Lending - Pinnacle ~ Self Managed Super Fund - Kaplan |
| Kane Addison John Livingstone | 2010 | Bachelor of Commerce Majoring in Financial Planning - Griffith University ~ Certified Financial Planner - FPA ~ DPML Margin Lending - Pinnacle ~ Diploma of Financial Services - Kaplan |
| Martin David Baker | 2010 | Diploma in Stockbroking - SAA ~ Margin lending and Geared Investment - Kaplan ~ Securities and Managed Investment - SAA ~ SuperAnnuation Program - SAA |
| Michelle Poulsen | 2011 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma Financial Services (Financial Planning) - MLC ThreeSixty ~ Master of Financial Planning - Kaplan Australia ~ RG146 Margin Lending - MLC ThreeSixty |
| Phoebe Myla Thomas Mumbray | 2023 | Business (Economics & Finance) - Queensland University of Technology ~ Financial Planning - Kaplan Professional |
| Steven Putt | 1999 | Bachelor of Business - University of Queensland |