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 | 2019 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT University ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Craig James Smith | 2016 | 2014 - Bachelor of Business - Finance - Bachelor Degree (AQF 7) - Swinburne University ~ 2016 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| David Frank LA Terra | 2021 | 2018 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT University ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jade Ngoc Nguyen | 2024 | 2021 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| James Peter Pastellas | 1988 | 1981 - Bachelor of Commerce - - University of Queensland ~ 1994 - Masters of Business - - Queensland University of Technology (QUT) ~ 2000 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional |
| Kaitlyn Joy Haris | 2023 | 2020 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Richard James Addison | 2004 | 2000 - Advanced Diploma of Business Marketing - Advanced Diploma (AQF 6) - RMIT University ~ 2002 - Bachelor of Business - Bachelor Degree (AQF 7) - Swinburne University ~ 2005 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2008 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA |
| Thomas Harris | 2006 | 2005 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2006 - Graduate Certificate of Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2007 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2014 - Certified Financial Planner - Masters Degree (AQF 9) - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Trenton Reece Wickins Goodey | 2018 | 2016 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Deakin University ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |