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 |
|---|---|---|
| Abhishek Bansal | 2008 | Advance Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Bachelor of Business (Marketing) - RMIT |
| Azhar Kamal | 2017 | Diploma of Financial Planning - Monarch Institute |
| Frank Pantano | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Group ~ Diploma of Financial Services (Financial Planning) - AMP Financial Services ~ Margin Lending & Geared Investments Certificate - Kaplan Education |
| John Mathiopoulos | 2009 | ASIC RG146 Tier 1 Compliance Prgoram - RMIT University TAFE ~ Certificate IV in Financial Services (Finance/Broking) - AAMC Training Group ~ Certificate IV in Financial Services (Financial Planning) - RMIT University TAFE ~ Certificate IV in Financial Services (Mortgage Broking) - AAMC Training ~ Diploma of Finance & Mortgage Broking Management - Kaplan Professional Education ~ Diploma of Finance and Mortgage Broking Management - Kaplan Education Pty Ltd ~ Diploma of Financial Services (Financial Planning) - RMIT University TAFE ~ Margin Lending & Geared Investments - Kaplan Professional ~ Superannuation, Life Insurance, Managed Investments - RMIT ~ THe Finamcial Services Industry Manage Client Services - RMIT |
| Katherine Spitzkowsky | 2018 | Accredited Listed Product Adviser Program - Kaplan ~ Bachelor of Business - Financial Planning - RMIT ~ Certified Financial Planner - FPA ~ DFP5v4 Tax for Financial Advising - Kaplan |
| Mark Ainsworth | 2010 | Diploma of Financial Services (Financial Planning) - AAMC Training Group |
| Matthew Christopher Kyroussis | 2016 | Bachelor of Business - Monash University ~ Diploma of Financial Planning - Kaplan ~ Victorian Certificate of Education - Wesley College |
| Michael Kuen Chuan Yong | 2013 | Bachelor of Business (Accountancy) - RMIT University ~ Diploma of Financial Services (Financial Planning) - Kaplan Education |
| Paul James Mccombe | 2009 | Diploma of Financial Services (Finance / Mortgage Broking Management) - AAMC Training Group ~ Diploma of Financial Services (Financial Planning) - AAMC Training Group |
| Peter Nicholas Jorgensen | 2017 | Bachelor of Business - Chisholm Institute of Technology ~ CPA Certified Practicing Accountant - Australian Society of CPA's ~ Diploma of Financial Planning - Mentor Education |
| Sonal Brar | 2018 | Advanced Diploma of Financial Planning - Mentor Education ~ B. Commerce - Osmania University |
| Victoria Devine | 2018 | Diploma of Financial Planning - Kaplan Professional ~ Master of Business Administration - RMIT |