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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Anthony Zaita | 2003 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Tier 1 Margin Lending - Personal Advice - Other - Kaplan Professional ~ 2021 - FPE016 Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| David Camilo Perez Estupinan | 2014 | 2011 - Master of International Finance - Masters Degree (AQF 9) - Deakin University of Australia ~ 2011 - Master of Professional Accounting - - Deakin University ~ 2011 - Master of Professional Accounting - Masters Degree (AQF 9) - Deakin University of Australia ~ 2011 - Masters of International Finance (Financial Planning) - - Deakin University ~ 2014 - CFP Certification - Professional Designations - Financial Planning Association ~ 2016 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| John Rio | 2000 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University |
| Leon Staropoli | 2022 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - SMSF Regulations and Taxation - Other - Kaplan |
| Owen Griffiths | 2009 | 2009 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Rakesh Kumar | 2007 | 2007 - Diploma of Financial Planning (DFP1-8) - Advanced Diploma (AQF 6) - Financial Planning Association of Australia (FPA) ~ 2007 - Industry Standard Education - RG146 specialist knowledge - Other - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional |