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 |
|---|---|---|
| Arin Doig | 2018 | 2013 - Bachelor of Business (Accounting) - - James Cook University ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan |
| Daniel William James | 2018 | 2018 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Hugh Walsh | 2017 | 2008 - Chartered Accountant - - Chartered Accountants Australia ~ 2015 - Master of Business Administration - - University of QLD ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan |
| Kirby Jamieson | 2015 | 2015 - Diploma of Financial Planning - - Kaplan ~ 2019 - Advanced Financial Planning - - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2022 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan |
| Matthew Gellweiler | 2015 | 2015 - Diploma of Financial Planning - - Kaplan ~ 2022 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2022 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan ~ 2023 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Michael Walsh | 2017 | 1981 - Chartered Accountant - - CA ~ 2016 - Diploma Financial Planning - - Kaplan ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2020 - Ethics Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan |
| Peter Jason Hodgson | 2013 | 2012 - Bachelor of Business - - James Cook University ~ 2013 - Diploma of Financial Planning - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2021 - Masters of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Simon Richard James Farmer | 2001 | 2001 - Bachelor of Business - - University of Queensland ~ 2012 - Margin Lending - - Kaplan ~ 2012 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - Cert IV Finance Mortgage Broking - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan |
| Stewart Mcleod | 2017 | 2006 - BCom Accounting - - University of Otago ~ 2011 - Chartered Accountant - - ICAANZ ~ 2012 - CTA - - The Tax Institute ~ 2017 - Diploma Financial Planning - - Kaplan |
| Tyson Rech | 2022 | 2021 - Bachelor of Business Management / Commerce - Bachelor Degree (AQF 7) - University of Queensland ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |