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 | 1993 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 1993 - Bachelor of Laws - Bachelor Degree (AQF 7) - University of Melbourne ~ 1998 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 1999 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Gajan Sundaram | 2013 | 2010 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2010 - Bachelor of Economics - Bachelor Degree (AQF 7) - Monash University ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional Education ~ 2018 - CFP Certification Program - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education |
| Julie Anne Bongiorno-millar | 2004 | 2000 - Bachelor of Commerce (Accounting, Finance) - Bachelor Degree (AQF 7) - University of Melbourne ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional Education ~ 2007 - ASX Accredited Listed Product Adviser Workshop - - ASX ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional Education ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional Education |