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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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; and
superannuation;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities; and
superannuation; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alison Margaret Squire | 2018 | 2005 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca Learning (Aust) Pty Ltd ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Amanda Hardy Lai | 2006 | 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2011 - Master of Applied Finance (Financial Planning Major) - Masters Degree (AQF 9) - Kaplan Professional |
| Andrew John Dunkerley | 2004 | 2001 - Bachelor of Business - - University of Technology Sydney ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2009 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2013 - Cavendish & ICFS Specialist SMSF Course - - University of Adelaide |
| Megan Christine Marshall | 2018 | 2018 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2022 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicole Leanne Bell | 2013 | 2002 - Bachelor of Mathematics - Bachelor Degree (AQF 7) - University of Wollongong ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Professional |
| Sharon Lee Sheehan | 2003 | 2005 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca Learning (Aust) Pty Ltd ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |