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;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
standard margin lending facility; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives;
foreign exchange contracts; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
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;
foreign exchange contracts;
debentures, stocks or bonds issued or proposed to be issued by a government;
interests in managed investment schemes excluding investor directed portfolio services;
securities; and
standard margin lending facility;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adrian Phelan | 2010 | 2006 - Course in Property (Agents Representative) - - RMIT ~ 2009 - Bachelor of Finance - - La Trobe University ~ 2009 - Bachelor of Finance - - Latrobe University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan ~ 2022 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2022 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Alexander Shimin Boag | 1998 | 1997 - Bachelor of Commerce - - Monash University ~ 2001 - Graduate Diploma in Financial Planning - - Securities Institute ~ 2012 - Master of Business Administration (Executive) - - The University of New South Wales |
| Anthony James Armstrong | 1995 | 1998 - Bachelor of Business Economics & Finance - - RMIT ~ 2001 - RG146 - - Kaplan |
| George Chepurov | 2010 | 1998 - Bachelor of Marketing - - Monash University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Georgina Baum | 2023 | 2013 - Bachelor of Science - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| John Richard Shaw | 2015 | 2012 - Bachelor of Business - - Royal Melborune Institute of Technology ~ 2013 - RG146 Accreditation (Securities & Managed Investments) - - Stockbrokers Association of Australia - Deakin Prime ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Mark Bradley Cashinella | 2006 | 2000 - Bachelor of Commerce - - The University of Melbourne ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan ~ 2022 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |