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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Anthony George Dalakouras | 2024 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Benjamin John Stokes | 2011 | Bachelor of Commerce - The University Of Melbourne ~ Certificate of Public Practice - The Institute of Chartered Accountants ~ Chartered Tax Adviser CTA - The Tax Institute ~ Diploma of Financial Services (Financial Planning) - The Investment Banking Institute ~ SMSF Specialist Advisor - Self Managed Super Fund Association |
| Catherine Elizabeth Jenkins | 2015 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Commerce - Deakin University ~ Certified Practising Accountant (CPA) - CPA Australia ~ Client Engagement Skills - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Daniel Mcintosh | 2014 | Acreditated Listed Product Adviser program - Kaplan ~ Advanced Diploma of Accounting - TAFE NSW ~ Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business Studies - Charles Sturt University ~ Certificate IV in Finance and Mortgage Banking - Kaplan Professional |
| David Anthony Bertelli | 2013 | 924 Superannuation - KAPLAN |
| James Edward Dudley | 1992 | Diploma of Financial Planning - RMIT University |
| Michael Ibbotson | 2004 | ASX Listed Securities Adviser - ASX ~ Bachelor of Business Financial Planning - RMIT ~ Bachelor of Business Financial Planning - RMIT ~ Certficate Vi in Property Services - Kaplan ~ Certificate VI in Finance Broking - Kaplan |
| Peter Robert Budge | 1995 | CFP - FPA ~ Certified Financial Transitionist - Sudden Money Institute |