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;
derivatives limited to:
old law securities options contracts and warrants;
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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Casey Huxtable | 2018 | 2015 - Diploma of Financial Planning - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| David John Lolicato | 2008 | 2006 - Bachelor of Commerce - - University of South Australia ~ 2009 - Certified Practising Accountant - CPA - - CPA Australia ~ 2010 - Self Managed Super Fund Specialist Adviser - - SPAA ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Australia |
| Duncan Wiech | 1997 | 1988 - Bachelor of Economics - - Flinders University of SA ~ 2017 - DFP5v2 Tax for Financial Advising - - Kaplan Professional ~ 2017 - TASACLv1 Commercial Law - - Kaplan ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Australia |
| Grant Philip Smith | 1994 | 2004 - Diploma - Financial Planning - - Financial Planning Association of Australia ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Australia |
| Gregory Shane Nicholls | 2016 | 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Flinders University of SA ~ 1998 - CPA Program - Professional Designations - CPA Australian Society |
| Jawad Ahmad | 2006 | 2005 - Bachelor of Finance - - University of Adelaide ~ 2006 - Diploma of Financial Services (Financial Planning) (FNS50804) - - Tribeca (Aust) Pty Limited ~ 2007 - Graduate Diploma in Global Wealth Management - - University of Adelaide ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Australia |
| Rowan Andrew Fielke | 2002 | 1996 - Bachelor of Commerce - - Flinders University of SA ~ 2000 - Diploma of Financial Planning - - Deakin University - Vic ~ 2005 - Self Managed Super Fund (SMSF) Specialist - - SMSF Association |