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;
derivatives limited to:
old law securities options contracts and warrants;
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;
derivatives limited to:
old law securities options contracts and warrants;
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 James Middlemis | 2009 | 2011 - Life Risk Specialist - - FPA ~ 2016 - CFP Certification - Professional Designations - FPA ~ 2016 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Ltd ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Brett Andrew Marchant | 2007 | 1996 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2009 - CFP Certification - Professional Designations - FPF ~ 2009 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA ~ 2013 - Margin Lending - - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Daniel William Nalder | 2013 | 2018 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Accredited Age Care Professional - Professional Designations - Aged Care Steps |
Kristopher Graeme Oliver Tatt | 2011 | 2009 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - La Trobe University ~ 2012 - CPA Program - Professional Designations - CPA Australia ~ 2014 - SMSF Specialist Advisor (SSA) - Professional Designations - SMSF Association ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Michael John Cherry | 2012 | 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps ~ 2021 - Introduction to Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Ltd ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
Michael Zealley | 2007 | 2007 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Ltd ~ 2017 - CFP Program - Professional Designations - FPA ~ 2019 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education Pty Ltd ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Ltd ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education Pty Ltd |