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 |
|---|---|---|
| Adrian Francis Peter D'mello | 2010 | 2004 - Bachelor of Commerce - - The University of Melbourne ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Anthony Lim | 2018 | 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Monash University ~ 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Tax for Financial Advising - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2019 - Commercial Law - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Chi Hanh ON | 2008 | 1993 - Certificate IV in Accounting - - Dandenong TAFE ~ 1996 - Business - Accounting - - Victoria University ~ 2008 - Diploma of Financial Services - - CPA Australia |
| Claudio Orrico | 1990 | 2004 - Self Managed Super Fund Course - - Tribeca ~ 2004 - Superannuation and Retirement Planning - - Tribeca ~ 2005 - Managed Investments - - Tribeca ~ 2009 - ASX Securities - - Kaplan ~ 2011 - Margin Lending - - Kaplan |
| Jessica Stephanie Orrico | 2018 | 2015 - Bachelor of Business - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2022 - Margin Lending Specialist - Other - Kaplan Professional |
| John Mytton Green | 1999 | 2003 - Diploma of Financial Planning - - Deakin University |
| Mazin Albassit | 2017 | 2015 - Bachelor of Business (Management) - - Griffith University ~ 2016 - Diploma of Financial Planning - - Mentor Education Pty Ltd ~ 2017 - Margin Lending Adviser (Personal Advice) - - Mentor Education ~ 2019 - Master of Financial Planning - - Griffith University ~ 2019 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education |
| Rocky Sorrenti | 1996 | 1983 - Bachelor of Business - - Swinburne University ~ 2000 - CPA Program - - CPA Australia ~ 2002 - PS 146 Compliance Program - - Securities Institute of Australia ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2020 - Financial Adviser Exam - Other - FASEA |
| Saliya DE Silva | 2018 | 2008 - Charted Institute of Management Accountants UK - - CIMA UK ~ 2010 - Graduate Certificate in Accounting/Master of Professional Accounting - - Central Queensland University ~ 2016 - Diploma of Financial Planning - - Kaplan |