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 |
|---|---|---|
| Gavin David Glozier | 2018 | 2003 - Diploma Of Financial Services - - Financial Services Training and Assessment Pty Ltd ~ 2019 - Advanced Diploma of Financial Planning - - Mentor Education, the trading name of RG146 Training Australia Pty Ltd ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2019 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education, the trading name of RG146 Training Australia Pty Ltd ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Marcus Aaron Netto | 2015 | 2014 - Advanced Diploma of Financial Planning (Qualification) - - Northern Sydney Institute - TAFE NSW ~ 2014 - Diploma of Financial Planning (Qualification) - - Northern Sydney Institute - TAFE NSW ~ 2022 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Western Sydney University |
| Michael Eric Mayrand | 2016 | 2008 - B.A. Business Major - Bachelor Degree (AQF 7) - Bishops University ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Self Managed Superannuation Funds - - Kaplan |
| Shaun Walsh | 2010 | 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2015 - CFP - Professional Designations - Financial Planning Association ~ 2019 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |