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;
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
financial products limited to:
miscellaneous financial investment products 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;
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;
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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Montana | 2010 | Bachelor of Business (Economics and Finance) - University of Technology Sydney ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ RG146 Provide advice in Margin Lending - MLC ThreeSixty |
| George Michael Caredes | 2004 | Advanced Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Bachelor of Mathematics and Finance - University of Technology Sydney (UTS) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - Securities Institute |
| Gregory Mifsud | 2000 | Bachelor of Mathematics and Finance - University of Technology Sydney (UTS) ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Diploma of Superannuation Management - Association of Superannuation Funds of Australia Ltd (ASFA) |
| Karen Doutty | 2018 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - Tribeca ~ Bachelor Commerce (EcoNomics) - Macquarie University ~ Diploma Financial Planning FNS50615 - Mentor Education Group |
| Luke Russell Mansell | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Finsia ~ Graduate Certificate in Applied Finance and Investment - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Marcus Thistleton | 2018 | Bachelor of Commerce (Finance and International Business) - University of Sydney ~ Diploma of Financial Planning - Kaplan Professional ~ SMSF Regulations and Taxation - Kaplan Professional |
| Matthew William Barton Smith | 2003 | Associate Diploma of Business - NSW TAFE ~ Bachelor of Economics (Social Sciences) - University of Sydney ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Margin Lending - MLC ThreeSixty |
| Melissa Jane Rethati | 2018 | Bachelor of Business - University of Technology Sydney (UTS) |
| Robert John Montgomery | 1982 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ RG146 Margin Lending - MLC ThreeSixty |
| Rodney Allen Dickinson | 1995 | Bachelor of Economics - University of Newcastle ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Margin Lending - MLC ThreeSixty |
| XI Benny Yang | 0 | Graduate Diploma of Financial Planning - Kaplan Professional |