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 | Bachelor of Business (Financial Management & Financial Planning) - La Trobe University ~ Certified Financial Planner - Financial Planning Association ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Tier 1 - Securities - Personal Advice - Kaplan Professional |
| Nicholas John Miller | 2018 | Bachelor of Business - Major in Finance - Swinburne University of Technology ~ Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Rodney Mario Degabriele | 1998 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - Kaplan Australia ~ Certificate 4 Fin. & Mortgage Broking - MLC ThreeSixty ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia ~ Fellow Chartered Financial Practitioners (FChFP) - Association of Financial Advisers (AFA) ~ RG146 Margin Lending - MLC ThreeSixty |
| Tony Vikram | 2007 | Advanced Diploma of Financial Planning - Kaplan Australia ~ Bachelor of Engineering - Visveswaraiah TechNology University India ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ RG146 Margin Lending - MLC ThreeSixty |