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 including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; 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;
foreign exchange contracts; and
interests in managed investment schemes limited to:
own managed investment scheme only;
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 including:
investor directed portfolio services;
interests in managed investment schemes limited to:
MDA services;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anne-marie Tassoni | 2009 | Bachelor of Commerce - University of Melbourne ~ CFP Certification Program - Financial Planning Association of Australia (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Master of Applied Finance - Kaplan Professional |
| David Harrison Clark | 2015 | Bachelor of Commerce/Bachelor of Engineering (Honours) - University of Melbourne ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - University of Cambridge ~ Superannuation - Kaplan Professional |
| James Rochford Cummings | 2024 | Bachelor of Commerce - Deakin University ~ Economic and Legal Context for Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Higher Education ~ Tax and Commercial Law for Financial Planning - Kaplan Professional |
| Paul Cameron Ashworth | 1996 | Bachelor of Economics - Monash University ~ Bachelor of Economics - Monash University ~ Bachelor of Laws - Monash University ~ Bachelor of Laws - Monash University ~ Diploma of Financial Services - Integratec ~ Diploma of Financial Services - Integratec ~ Graduate Diploma in Finance Law - University of Melbourne ~ Graduate Diploma in Finance Law - University of Melbourne ~ Margin Lending and Geared Investments - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional |
| Tristan William Bowman | 2015 | Bachelor of Commerce/Bachelor of Laws - Deakin University ~ Chartered Financial Analyst (CFA) - CFA Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ RG146 Gap Training Program for CFA Charterholders and Candidates - Financial Education Professionals ~ Superannuation - Kaplan Professional |