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 | 1996 - Bachelor of Applied Science - Communications - - UTS Sydney ~ 1997 - Superannuation & Personal planning & Principles of Investment Planning - - Macquarie University & Investment Training College ~ 1999 - ASX Derivates Levels 1 & 2 - - ASX ~ 2001 - DFP 7 Advanced Investment Planning - - Deakin University ~ 2005 - Superannuation module #3 - - RMIT/SDIA |
| Ben Robert Clark | 2001 | 2000 - B. Commence (Finance & Marketing) - - Sydney University ~ 2007 - DFP 1-4 - - Tribeca & Kaplan ~ 2011 - Margin Lending & Geared Investments - - Kaplan |
| James Eugene Diegelman | 2016 | 2011 - Bachelor of Business - - Australian Catholic University National ~ 2015 - Diploma of Financial Planning - - Pinnacle Financial Services |
| Jeremy Robert Hook | 1998 | 1991 - Bachelor of Economics (Economics & Government) - - Sydney Uni ~ 1997 - Grad Dip of Finance & Investments - - SIA ~ 2010 - Margin Lending & Geared Investments - - Kaplan |
| Joel Campbell | 2022 | 2015 - Economics - Bachelor Degree (AQF 7) - Uni Western Australia ~ 2021 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Matthew Garrett Waters | 2002 | 2002 - Diploma of Financial Planning - - FPA ~ 2011 - margin Lending and Geared Investments - - Kaplan |
| Matthew James Salmon | 2006 | 2008 - DFP 1-4 - - Kaplan ~ 2011 - Margin Lending & Geared Investments - - Kaplan |
| Matthew Lloyd Stephens | 1997 | 1996 - Bachelor of Economics (Business Law) - - Macquarie University ~ 2002 - Dip Financial Planning - - Deakin ~ 2003 - ASX Derivatives level 1 - - ASX |
| Michael Hartley | 2007 | 2010 - International Certificate in Wealth Management - - Chartered Institute for Securities & Investments (United Kingdom) ~ 2010 - International Introduction to Investment - - Chartered Institute for Securities & Investments (United Kingdom) ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional Education |