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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| Adam Morse | 2007 | Bachelor of Business - Swinburne University of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Bernadine Ophelia | 2023 | Bachelor of Commerce - University of Melbourne ~ Diploma of Financial Planning - Monarch Institute ~ Master of Financial Planning - Swinburne University of Technology |
| Daniel Francis Zaffino | 2014 | Bachelor of Commerce - Deakin University ~ Master of Financial Planning (Qualification) - University of New South Wales (NSW) |
| Gareth James DE Maid | 2002 | Bachelor of Arts & Economics - LaTrobe University ~ Certified Financial Planner - Securities Institute ~ Graduate Diploma of Financial Planning - Securities Institute |
| Helen Mcmillan | 0 | Graduate Diploma of Financial Planning - Deakin University ~ Master of Financial Planning - Deakin University |
| Leigh Fernando | 2014 | Bachelor of Business - Swinburne University of Technology ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Certificate in Applied Finance - Kaplan Professional ~ Graduate Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Nelangi Dhananja Perera Hewagama | 0 | Bachelor of Business and Commerce - Monash University ~ Master of Financial Planning - Deakin University |
| Nicholas Peter Siemensma | 2017 | Bachelor of Commerce (Finance) - Deakin University ~ Diploma of Financial Planning - Kaplan |
| Peter Handberg | 2010 | Diploma of Financial Services (Financial Planning) - Kaplan ~ Graduate Certificate in Financial Planning - Kaplan Professional |
| Samantha Durdin | 2014 | Diploma of Financial Services (Financial Planning) - FINSIA ~ Graduate Diploma of Financial Planning - Kaplan Professional Education |
| Shannan John Stevens | 2004 | Diploma of Financial Services (Financial Planning) - Tribeca |
| Shannon Chandler | 0 | Bachelor of Business (Economics and Finance) - Royal Melbourne Institute of Technology ~ Master of Financial Planning - Deakin University |