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;
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;
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 |
|---|---|---|
| David Richard Sims | 2012 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - International Institute of Technology ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Spiro Ross Dalaberas | 2014 | 2013 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University ~ 2015 - Self Managed Superannuation Funds - Diploma (AQF 5) - Monarch Institute ~ 2018 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - Bachelor of Accounting - Bachelor Degree (AQF 7) - University of South Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Tommy LI | 2018 | 2004 - Graduate Diploma in Accounting - Graduate Diploma (AQF 8) - Murdoch University ~ 2016 - Chartered Accountant (CA) - Professional Designations - Chartered Accountants (CA) ~ 2016 - Graduate Diploma (CA) - Graduate Diploma (AQF 8) - Chartered Accountants ANZ ~ 2017 - Accountants Self Managed Superannuation Funds Package - Other - Kaplan Professional ~ 2017 - FNS50615 Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - FNS60415 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology (IIT) ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |