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;
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;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alexander Thomas Harris | 2016 | 2008 - Bachelor of Applied Finance - - Macquarie University ~ 2008 - Bachelor of Commerce - Accounting - - Macquarie University ~ 2014 - Diploma of Financial Planning - - Kaplan ~ 2020 - Financial Adviser Exam - Other - Fasea ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Donald Wilfred DE Boer | 2004 | 1974 - BA - Accounting - - Macquarie University ~ 1979 - Chartered Accountant - - ICAA ~ 1979 - Chartered Tax Advisor - - TIA ~ 2008 - Dipolma Financial Planning - - FINSIA ~ 2008 - Graduate Dipolma Financial Planning - - FINSIA ~ 2018 - Responsible Manager - - Kaplan |
| Maysee Chang | 2011 | 2005 - Bachelor of Business / Bachelor of Commerce - - James Cook University ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan |
| Russell Lloyd Lees | 2005 | 1993 - Diploma of Financial Markets - - Securities Insitute of Australia ~ 2006 - Graduate Diploma of Financial Planning - - FINSIA ~ 2007 - Certified Financial Planner - - FPA ~ 2010 - Accredited Estate Planning Strategist - - FPA ~ 2015 - Certificate IV in Finance & Mortgage Broking - - National Finance Institute |