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 |
|---|---|---|
| Aaron Robert Leslie | 2011 | Bachelor of Commerce (Economics) - University of Melbourne ~ Diploma of Financial Planning - Kaplan Professional |
| Adrian Bikram Chaudhary | 2000 | ASX Securities - kaplan ~ Certified Financial Planner - FPA ~ Diploma of Financial Planning - FPA ~ Margin Lending - Kaplan ~ Self Managed Super Fund Course - Tribeca |
| Barry David King | 2003 | Advanced Aged Care - Aged Care Steps ~ Advanced Aged Care - Aged Care Steps ~ Advanced Diploma of Financial Services (Financial Planning) - Deakin Financial Services ~ Advanced Diploma of Financial Services (Financial Planning) - Deakin Financial Services ~ Certified Financial Strategist - AIOFP ~ Certified Financial Strategist - AIOFP ~ Diploma of Financial Services (Financial Planning) - Deakin Financial Services ~ Diploma of Financial Services (Financial Planning) - Deakin Financial Services ~ Self Managed Superannuation Funds - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Christian John Dignan | 2008 | Bachelor of Business (Business Management) - Charles Sturt University ~ Certified Financial Planner - FPA ~ Graduate Diploma of Financial Planning - Finsia |
| James Shaw | 2012 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Commerce (Financial Planning) - University of Canberra ~ Margin Lending & Geared Investments - Kaplan ~ SMSF Core Course - DBA Network Pty Ltd |
| Kelly Jane Conley | 2013 | Accredited Aged Care Professional - Aged Care Steps ~ Financial Planning - Kaplan ~ Self-Managed Superannuation Funds - Kaplan Professional ~ Tier 1 Margin Lending -Personal Advice - Kaplan Professional |
| Rae Louise Jacka | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Higher Education |
| Stanford Clark | 2006 | Accredited Aged Care Professional - Aged Care Steps ~ Certified Financial Planner - FPA ~ Graduate Diploma Financial Planning - Kaplan ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self-Managed Superannuation Funds - Kaplan Professional |