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 limited to:
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 limited to:
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 |
|---|---|---|
| Daniel Tuan YU Tiet | 2014 | Bachelor of Business (Accounting) - RMIT University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Association of Superannuation Funds of Australia Ltd (ASFA) ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| David Stephen Dodgshun | 2018 | Accountants Self Managed Superannuation Funds Package - Kaplan ~ Bachelor of Business (Information Systems) - Swinburne University ~ Bachelor of Business - Swinburne University ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Chartered Accounting (GradDipCA) - The Institute of Chartered Accountants in Australia |
| Kerry Mcdonald | 1996 | Bachelor of Business (Accounting) - Swinburne ~ Certified Financial Planner - Financial Planning Association ~ Financial Planning Certificate - CPA ~ Self Managed Superannuation Fund accreditation - Tribeca |
| Melissa Robertson | 2017 | Bachelor of Business (Accounting) - La Trobe University, Bendigo ~ Diploma of Financial Planning - Kaplan Professional ~ SMSF Specialist Advisor - SMSF Association ~ Tier 1 Margin Lending- Personal Advice - Kaplan Professional |
| Varun Tushar Sarup | 2013 | Bachelor of Commerce (Applied Economics & Finance) - University of Ballarat ~ Diploma Margin Lending - Pinnacle Financial Services ~ Diploma of Financial Planning - Mentor Education ~ TASA and the TPB Code of Professional Conduct - Kaplan |