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;
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:
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;
derivatives;
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 |
|---|---|---|
| Adam Robert Callinan | 2016 | 2013 - Diploma of Financial Planning - - Kaplan ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan |
| Christopher John Smith | 2000 | 1998 - Bachelor of Arts - - Griffith University ~ 2002 - Diploma of Financial Planning - - Deakin University ~ 2006 - Certified Financial Planner - - FPA |
| Grant Dougan | 2001 | 2008 - Advanced Diploma of Financial Services - - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Griffith University ~ 2020 - Masters of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Heather Denise Croy | 2018 | 2000 - Bachelor of Commerce - - University of Canterbury (New Zealand) ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional |
| John Michael O'brien | 2003 | 2001 - Bachelor of Commerce - - Griffith University ~ 2002 - Masters Financial Planning - - Griffith University |
| Paul Alexander Travis | 0 | 2018 - Business - Bachelor Degree (AQF 7) - Griffith University ~ 2018 - Commerce - Bachelor Degree (AQF 7) - Griffith University |
| Scott Mitchell Gynther | 2017 | 2014 - Bachelor of Business - - Queensland University of Technology ~ 2016 - Advanced Diploma of Financial Planning - - KAPLAN |
| Simon Davis | 1999 | 1994 - Bachelor of Business - - Qld University of Technology ~ 2001 - Certified Financial Planner - - FPA ~ 2001 - Diploma of Financial Planning - - Deakin University |