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;
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;
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 |
|---|---|---|
| Aaron Keith Mcmurray | 1997 | ASX Derivates Levels 1 & 2 - ASX ~ Bachelor of Applied Science - Communications - UTS Sydney ~ DFP 7 Advanced Investment Planning - Deakin University ~ Superannuation & Personal planning & Principles of Investment Planning - Macquarie University & Investment Training College ~ Superannuation module #3 - RMIT/SDIA |
| Ben Robert Clark | 2001 | B. Commence (Finance & Marketing) - Sydney University ~ DFP 1-4 - Tribeca & Kaplan ~ Margin Lending & Geared Investments - Kaplan |
| James Eugene Diegelman | 2016 | Bachelor of Business - Australian Catholic University National ~ Diploma of Financial Planning - Pinnacle Financial Services |
| Jeremy Robert Hook | 1998 | Bachelor of Economics (Economics & Government) - Sydney Uni ~ Grad Dip of Finance & Investments - SIA ~ Margin Lending & Geared Investments - Kaplan |
| Joel Campbell | 2022 | Economics - Uni Western Australia ~ Graduate Diploma Financial Planning - Kaplan |
| Matthew Garrett Waters | 2002 | Diploma of Financial Planning - FPA ~ margin Lending and Geared Investments - Kaplan |
| Matthew James Salmon | 2006 | DFP 1-4 - Kaplan ~ Margin Lending & Geared Investments - Kaplan |
| Matthew Lloyd Stephens | 1997 | ASX Derivatives level 1 - ASX ~ Bachelor of Economics (Business Law) - Macquarie University ~ Dip Financial Planning - Deakin |
| Michael Hartley | 2007 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ International Certificate in Wealth Management - Chartered Institute for Securities & Investments (United Kingdom) ~ International Introduction to Investment - Chartered Institute for Securities & Investments (United Kingdom) ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |