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 limited to:
old law securities options contracts and warrants;
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; and
superannuation; 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 limited to:
old law securities options contracts and warrants;
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 limited to:
old law securities options contracts and warrants;
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; and
superannuation; and
underwriting:
interests in managed investment schemes; and
an issue of securities;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Antoinette Elizabeth Bongiorno | 1996 | Bachelor of Commerce - University of Melbourne ~ Bachelor of Laws - University of Melbourne ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |
| Gajan Sundaram | 2013 | Bachelor of Commerce (Finance) - Monash University ~ Bachelor of Economics - Monash University ~ CFP Certification Program - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |
| Julie Anne Bongiorno-millar | 2004 | ASX Accredited Listed Product Adviser Workshop - ASX ~ Bachelor of Commerce (Accounting, Finance) - University of Melbourne ~ Client Engagement Skills - Kaplan Professional Education ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional Education |