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 | 2006 - Bachelor of Commerce - - University of Melbourne ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2010 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional ~ 2012 - CFP Certification Program - - Financial Planning Association of Australia (FPA) ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| David Harrison Clark | 2015 | 2007 - Bachelor of Commerce/Bachelor of Engineering (Honours) - - University of Melbourne ~ 2013 - Master of Business Administration - - University of Cambridge ~ 2015 - Superannuation - - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| James Rochford Cummings | 2024 | 2017 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2021 - Economic and Legal Context for Financial Planning - Other - Kaplan Professional ~ 2021 - Tax and Commercial Law for Financial Planning - Other - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education |
| Paul Cameron Ashworth | 1996 | 1992 - Bachelor of Economics - - Monash University ~ 1994 - Bachelor of Laws - - Monash University ~ 1997 - Graduate Diploma in Finance Law - - University of Melbourne ~ 2003 - Diploma of Financial Services - - Integratec ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional |
| Tristan William Bowman | 2015 | 2012 - Bachelor of Commerce/Bachelor of Laws - - Deakin University ~ 2015 - RG146 Gap Training Program for CFA Charterholders and Candidates - - Financial Education Professionals ~ 2015 - Superannuation - - Kaplan Professional ~ 2017 - Chartered Financial Analyst (CFA) - - CFA Institute ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |