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 | Bachelor of Commerce - Australian National University ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Fenglin Jia | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ MAI769 Ethics for Financial Services - Deakin University ~ Master of Accounting - Australian National University (ANU) ~ Master of Business - Australian National University (ANU) |
| Michael Peter Fennell | 2023 | Bachelor of Business - Charles Sturt ~ Graduate Diploma in Financial Planning - Kaplan |
| Nathan James Hancock | 2013 | Bachelor of Commerce - University of Wollongong ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Roger Arthur Hancock | 1988 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |