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 |
|---|---|---|
| Adam David Roberts | 2016 | 2005 - Bachelor of Science (Biological Sciences) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2008 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2010 - Chartered Accountants Australia and New Zealand Course - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2016 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Education Pty Ltd ~ 2016 - Tax Practitioners Board - Professional Designations - Tax Practitioners Board ~ 2017 - Certificate of Public Practice - Other - Chartered Accountants Australia and New Zealand ~ 2025 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Education Pty Ltd - 2025 ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Education Pty Ltd - 2025 |
| Tess Uncle | 2016 | 2001 - Bachelor of Science in Psychology - Bachelor Degree (AQF 7) - The University of New South Wales ~ 2004 - Master of Commerce in Professional Accounting - Masters Degree (AQF 9) - The University of New South Wales ~ 2010 - Chartered Accountants Australia and New Zealand course - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2016 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Education Pty Ltd ~ 2017 - Certificate of Public Practice - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2017 - Tax Practitioners Board - Professional Designations - Tax Practitioners Board ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Education Pty Ltd ~ 2025 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Education Pty Ltd |