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 |
|---|---|---|
| James Alistair Hicks | 2023 | 2018 - Bachelor of Commerce - Bachelor Honours Degree (AQF 8) - Monash University ~ 2020 - Master of Applied Finance - Masters Degree (AQF 9) - Monash University ~ 2022 - Graduate Diploma of Finanical Planning - Graduate Certificate (AQF 8) - Kaplan ~ 2024 - SMSF Specialist Advisor (SSA) - Professional Designations - SMSF Association |
| Paul Anthony Pellegrino | 2007 | 2004 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University ~ 2009 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2012 - Certified Financial Planner (CFP) Program - Professional Designations - Deakin University and the FPA ~ 2022 - SMSF Specialist Advisor (SSA) Accreditation - Professional Designations - SMSF Association ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |