This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
managed investment schemes limited to MDA services to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
managed investment schemes limited to MDA services to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| George Peat | 2018 | 2018 - Diploma of Financial Planning - - Mentor ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2025 - SuperConcepts Specialist SMSF Online Course - Other - The University of Adelaide / SuperConcepts |
| Jason Patrick O'connell | 2018 | 2014 - QFA Diploma in Financial Advice - - Institute of Banking University College of Dublin ~ 2018 - RO4 U.K. Pension and Retirement Planning - - Chartered Institute Insurance UK ~ 2019 - Advanced Diploma of Financial Planning (FNS60415) - Advanced Diploma (AQF 6) - Mentor Education ~ 2019 - Pension Transfers & Planning Advice - - Chartered Institute for Securities and Investment ~ 2025 - Ethics & Professionalism in Financial Advice FPC002B - Bridging Course - Ethics - Kaplan Professional ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2025 - SMSF Specialist Advisor (SSA) - Professional Designations - SMSF Association |
| Jeffrey John | 2014 | 1984 - Bachelor of Arts - - Monarch University ~ 1988 - Bachelor of Laws - - University of Tasmania ~ 1997 - Arbitration & Mediation Certificate - - Bond University ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Neil Bruce Stafford | 1997 | 2001 - Diploma Financial Planning - - Financial Planning Association of Australia (FPA) ~ 2004 - Certified Financial Planner - - Financial Planning Association of Australia (FPA) ~ 2010 - Margin Lending & Geared Investments - - Kaplan |