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 | Accredited Derivatives Adviser - Level 2 - Kaplan ~ Bachelor of Commerce (Property and Finance) - Curtin University of Technology ~ Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| Jarrod Palmer Broadbent | 1995 | Accredited Margin lending adviser - ANZ ~ Accredited Margin lending adviser - Merrill Lynch ~ Bachelor of Commerce (major in Accounting) and a Bachelor of Law - Monash University ~ RG146 - SDIA ~ Superannuation RG146 - RMIT |
| Jonathan James Holroyd | 2017 | Bachelor of Commerce - University of Melbourne ~ Ethics & Professionalism in Financial Advice - KAPLAN ~ Financial Adviser Exam - FASEA |
| Luke Pavone | 2010 | Accredited Derivatives Adviser Level 1 - Kaplan Professional Education ~ Bachelor of Business - Griffith University ~ Margin Lending Accreditation - Kaplan Professional Education ~ Securities & Managed Investments - Deakin Prime ~ Tier One Superannuation - Kaplan Professional Education |