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:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of 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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Carlos Armando Ortega Suarez | 2024 | 2018 - Master of Accounting - Masters Degree (AQF 9) - Kaplan Business School ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Diane Dai Jing Cui | 2012 | 2012 - Diploma of Financial Services (Financial Planning) - - Investment Banking Institute (IBI) ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan ~ 2020 - Aged Care Professional Program - Other - Aged Care Steps |
| Greg Layton | 1990 | 2002 - RG146 compliant in Financial Planning, Investment Planning, Retirement Planning, Life Insurance - - FPA ~ 2004 - Advanced Strategies for Self-Managed Superannuation - - GWM Adviser Services ~ 2005 - SMSF Specialist Advisor Accreditation - - SPAA - SMSF Association |
| Paul Yeo | 2014 | 2011 - Master of Commerce - - Deakin University ~ 2015 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2015 - Self Managed Superannuation Funds - - Kaplan Professional |
| Tony Peter Boniello | 1995 | 2001 - Certified Financial Planner - - FPA ~ 2001 - Diploma of Finacial Planning - - Deakin University ~ 2011 - margin Lending & Geared Investment - - Kaplan ~ 2013 - Kaplan SMSF Course - - Kaplan ~ 2014 - Kaplan Securities Course and ALPA - - Kaplan |