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;
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;
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| George Vassilopoulos | 1997 | 2000 - Diploma in Financial Planning - - Deakin University |
| Jonathan Mark Robert Swanton | 2003 | 2003 - Bachelor of Business (Accounting & Finance) - Bachelor Degree (AQF 7) - Swinburne University ~ 2006 - Chartered Accountant - Professional Designations - Institute of Chartered Accountants in Australia (ICCA) ~ 2006 - Graduate Diploma in Chartered Accounting - Graduate Diploma (AQF 8) - Institute of Chartered Accountants in Australia (ICCA) ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Institute of Chartered Accountants in Australia (ICCA) ~ 2009 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia (FPA) |
| Timothy James Farrell | 2015 | 1985 - Bachelor of Economics - - Monash University ~ 2010 - Diploma of Financial Services - - Kaplan Professional ~ 2015 - Advanced diploma of financial planning - - Monarch Institute ~ 2015 - Margin Lending - - Monarch Institute ~ 2018 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor education |