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 |
|---|---|---|
| Benjamin James Russell Waite | 2009 | 2006 - Advance Diploma of Superannuation Management - Advanced Diploma (AQF 6) - ASFA ~ 2009 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2013 - Certified Financial Technician - Professional Designations - International Federation of Technical Analyst ~ 2013 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan ~ 2015 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Cameron Darnley | 2004 | 2001 - Bachelor of Finance (B Fin) - Bachelor Degree (AQF 7) - La Trobe University ~ 2004 - Diploma of Financial Planning (DFP) - Diploma (AQF 5) - FAP/Deakin ~ 2007 - Certified Financial Planner (CFP) - Professional Designations - FPA ~ 2016 - SMSF Specialist Advisor - Professional Designations - SMSF Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Christian Nathan Plant | 2024 | 2009 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2011 - Advanced Diploma in Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2019 - Bachelor of Business in Financial Planning - Bachelor Degree (AQF 7) - RMIT ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - SMSF Regulation & Taxation - Certificate (AQF 1-4) - Kaplan |
| David Anthony Collins | 2016 | 1993 - Chartered Accountant - - Institute of Chartered Accountants in England and Wales and CAANZ ~ 2002 - Master of Business Administration - - Manchester Business School ~ 2016 - Diploma of Financial Services - - Kaplan ~ 2016 - SMSF Specialist Advisor - - Self Managed Superannuation Fund Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |