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 |
|---|---|---|
| GA Yee Chan | 2018 | 2014 - Bachelor of Business (Financial Management & Financial Planning) - Bachelor Degree (AQF 7) - La Trobe University ~ 2016 - Tier 1 - Securities - Personal Advice - Other - Kaplan Professional ~ 2017 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Nicholas John Miller | 2018 | 2017 - Diploma of Financial Planning - - Kaplan ~ 2019 - Self Managed Superannuation Funds - - Kaplan ~ 2022 - Bachelor of Business - Major in Finance - Bachelor Degree (AQF 7) - Swinburne University of Technology |
| Rodney Mario Degabriele | 1998 | 2005 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2006 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2010 - Certificate 4 Fin. & Mortgage Broking - Certificate (AQF 1-4) - MLC ThreeSixty ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2012 - Fellow Chartered Financial Practitioners (FChFP) - Professional Designations - Association of Financial Advisers (AFA) |
| Tony Vikram | 2007 | 2003 - Bachelor of Engineering - Bachelor Degree (AQF 7) - Visveswaraiah TechNology University India ~ 2010 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2017 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |