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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Darren Ernest Potter | 2004 | 2006 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Advice - - Kaplan ~ 2017 - Self Managed Superannuation Funds - - Kaplan |
| Jackson Patrick Mclachlan | 2021 | 2020 - Bachelor of Management - Bachelor Degree (AQF 7) - Deakin University ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nathan Stuart | 2016 | 2011 - Bachelor of Commerce - - Curtin University of Technology ~ 2016 - Diploma of Financial Planning - - Kaplan |
| Stuart William Griffiths | 2004 | 2004 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan (formerly Tribeca) ~ 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 |