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;
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;
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 |
|---|---|---|
| Daniel William James | 2018 | Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Financial Planning - Kaplan |
| Hugh Walsh | 2017 | Chartered Accountant - Chartered Accountants Australia ~ Client Engagement Skills - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Business Administration - University of QLD |
| Kirby Jamieson | 2015 | Advanced Financial Planning - Kaplan ~ Client Engagement Skills - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Matthew Gellweiler | 2015 | Client Engagement Skills - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Michael Walsh | 2017 | Chartered Accountant - CA ~ Client Engagement Skills - Kaplan ~ Diploma Financial Planning - Kaplan ~ Economic and Legal Context for Financial Planning - Kaplan ~ Ethics Professionalism in Financial Advice - Kaplan |
| Peter Jason Hodgson | 2013 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Business - James Cook University ~ Diploma of Financial Planning - Kaplan ~ Masters of Financial Planning - Griffith University |
| Simon Richard James Farmer | 2001 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business - University of Queensland ~ Cert IV Finance Mortgage Broking - Kaplan ~ Margin Lending - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Stewart Mcleod | 2017 | BCom Accounting - University of Otago ~ CTA - The Tax Institute ~ Chartered Accountant - ICAANZ ~ Diploma Financial Planning - Kaplan |
| Tyson Rech | 2022 | Bachelor of Business Management / Commerce - University of Queensland ~ Graduate Diploma of Financial Planning - Kaplan |