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 excluding investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation;
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 excluding investor directed portfolio services;
securities; and
superannuation; 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 excluding investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation; and
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
schemes which only hold the following types of property:
financial assets;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Duncan Robert Essery | 2003 | 1995 - Bachelor of Business - - Swinburne University of Technology ~ 2002 - Certified Practising Accountant - Professional Designations - CPA Australia ~ 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association ~ 2007 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Ellyn Margaret Rimmer | 2016 | 2009 - Bachelor of Applied Science - Bachelor Degree (AQF 7) - Deakin University ~ 2010 - Graduate Diploma of Psychology - Graduate Diploma (AQF 8) - Deakin University ~ 2015 - Financial Planning - Masters Degree (AQF 9) - Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Graduate Australian Institute of Company Directors - Professional Designations - Australian Institute of Company Directors |
| Robert Stanley Jaskiewicz | 2000 | 2001 - Bachelor of Commerce - - Deakin University ~ 2006 - Graduate Diploma in Financial Planning - - Royal Melbourne Institute of Technology ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Stephanie King | 2011 | 2004 - Bachelor of Business (Business Administration) - Bachelor Degree (AQF 7) - RMIT ~ 2007 - Diploma of Financial Services - - Kaplan ~ 2011 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - TASA and the TPB Code of Professional Conduct - Other - Kaplan |