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;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
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;
derivatives;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes including:
investor directed portfolio services;
securities;
standard margin lending facility; and
superannuation;
to retail clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Russell | 2015 | 2009 - Bachelor of Commerce (Property and Finance) - - Curtin University of Technology ~ 2012 - Diploma of Financial Planning - - Kaplan Professional ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - Accredited Derivatives Adviser - Level 2 - - Kaplan |
| Gareth James DE Maid | 2002 | 2001 - Bachelor of Arts & Economics - Bachelor Degree (AQF 7) - LaTrobe University ~ 2004 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2005 - Certified Financial Planner - - Securities Institute |
| Jarrod Palmer Broadbent | 1995 | 1994 - Bachelor of Commerce (major in Accounting) and a Bachelor of Law - - Monash University ~ 2001 - Accredited Margin lending adviser - - Merrill Lynch ~ 2002 - RG146 - - SDIA ~ 2003 - Superannuation RG146 - - RMIT ~ 2010 - Accredited Margin lending adviser - - ANZ |
| Jonathan James Holroyd | 2017 | 2000 - Bachelor of Commerce - - University of Melbourne ~ 2019 - Ethics & Professionalism in Financial Advice - - KAPLAN ~ 2019 - Financial Adviser Exam - - FASEA |
| Luke Pavone | 2010 | 2000 - Bachelor of Business - - Griffith University ~ 2010 - Securities & Managed Investments - - Deakin Prime ~ 2012 - Tier One Superannuation - - Kaplan Professional Education ~ 2013 - Accredited Derivatives Adviser Level 1 - - Kaplan Professional Education ~ 2013 - Margin Lending Accreditation - - Kaplan Professional Education |
| Seamus Flagg | 0 | 2022 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University |