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;
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;
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 |
|---|---|---|
| Alexander Edgar Lee | 2006 | 2005 - Bachelor of Commerce (Financial Planning & Accounting) - Bachelor Degree (AQF 7) - Curtin University ~ 2007 - Certified Financial Planner - Certificate (AQF 1-4) - CFP/FPA ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Daniel Isenhood | 1994 | 2002 - Diploma of Financial Planning - - Financial Planning Association of Australia |
| Myles Andrew Thornton | 2008 | 2003 - Masters International Relations - Masters Degree (AQF 9) - UNSW ~ 2007 - Diploma Financial Services - Diploma (AQF 5) - Kaplan ~ 2012 - Certified Financial Planner - Certificate (AQF 1-4) - Financial Planning Association of Australia ~ 2012 - Masters Commerce (Financial Planning) - Masters Degree (AQF 9) - UWS ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Rael Kwasnik | 2016 | 2010 - Bachelor of Business (Accounting & Finance) - - Auckland University of Technology ~ 2016 - Diploma of Financial Planning - - Pinnacle Financial Services Academy |
| Tatiana Coulter | 2012 | 2003 - Diploma of Financial Planning - - Deakin University ~ 2005 - Advanced Diploma of Financial Planning - - Deakin University ~ 2012 - LRS Life Risk Specialist - - Financial Planning Association of Australia ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2017 - Fellow Chartered Financial Practitioner - - Association of Financial Advisers |