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 |
|---|---|---|
| Antonio Cafasso | 2022 | Bachelor of Business (Economics and Finance) - RMIT University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Craig James Smith | 2016 | Bachelor of Business - Finance - Swinburne University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| David Frank LA Terra | 2021 | Bachelor of Business (Economics and Finance) - RMIT University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| James Peter Pastellas | 1988 | Bachelor of Commerce - University of Queensland ~ Certified Financial Planner - Financial Planning Association of Australia ~ Margin Lending and Geared Investments - Kaplan Professional ~ Masters of Business - Queensland University of Technology (QUT) |
| Kaitlyn Joy Haris | 0 | Bachelor of Business (Economics and Finance) - RMIT ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Richard James Addison | 2004 | Advanced Diploma of Business Marketing - RMIT University ~ Advanced Diploma of Financial Services - Financial Planning Association of Australia ~ Bachelor of Business - Swinburne University ~ Graduate Diploma of Applied Finance and Investment - FINSIA |
| Thomas Harris | 2006 | Bachelor of Commerce - University of Melbourne ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Certificate of Financial Planning - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - FINSIA |
| Trenton Reece Wickins Goodey | 2018 | Bachelor of Commerce (Accounting and Finance) - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan Professional |