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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Benjamin James Bouffler | 2016 | 2011 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Australian National University ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Margin Lending - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional |
| Fenglin Jia | 2018 | 2012 - Master of Accounting - Masters Degree (AQF 9) - Australian National University (ANU) ~ 2012 - Master of Business - Masters Degree (AQF 9) - Australian National University (ANU) ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - MAI769 Ethics for Financial Services - Bridging Course - Ethics - Deakin University |
| Michael Peter Fennell | 2023 | 2011 - Bachelor of Business - Bachelor Degree (AQF 7) - Charles Sturt ~ 2022 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Nathan James Hancock | 2013 | 2009 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Wollongong ~ 2012 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Roger Arthur Hancock | 1988 | 1993 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 1995 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2011 - Margin Lending and Geared Investments - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional |