This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
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;
standard margin lending facility; and
superannuation; and
provide general financial product advice to wholesale clients only for the following classes of financial products:
foreign exchange contracts;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
derivatives; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients 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;
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;
standard margin lending facility; and
superannuation; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients only in respect of the following classes of products:
foreign exchange contracts.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Colin Campbell | 2006 | 1978 - Bachelor of Commerce - - University of Melbourne ~ 1980 - Securities Institute Diploma Course - - Securities Institute of Australia ~ 1989 - Master of Business Administration - - RMIT ~ 2011 - Accredited Derivatives Adviser, Level 2 - - Kaplan Professional ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Cristian Tudor | 2016 | 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2014 - Graduate Diploma of Applied Finance - - Kaplan ~ 2016 - Self Managed Super Funds - - Kaplan Professional ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Danielle Strauss | 2023 | 2018 - Graduate Certificate in Applied Finance - Graduate Certificate (AQF 8) - Kaplan ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2024 - Aged Care Professional - Professional Designations - Aged Care Steps ~ 2024 - Certified Financial Planner (CFP) - Professional Designations - Financial Advice Association of Australia |
| Paul Anthony Stone | 1999 | 2002 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2004 - Financial Plan Construction & Review (DFP 8) - - Financial Planning Association of Australia Limited ~ 2011 - Certified Financial Planner - - Financial Planning Association of Australia Limited ~ 2011 - Margin Lending & Geared Investments - - Kaplan Professional ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Rivee Dylan Tai Tao | 2016 | 2007 - Bachelor of Business (Accounting) - - Swinburne University of Technology ~ 2009 - Tier 1 Adviser Compliance - Superannuation, Managed Investments, Life Insurance, Financial Planning - Other - Kaplan Professional ~ 2019 - Accredited Derivatives Adviser Level 1 - Other - Kaplan Professional ~ 2019 - FPC002B - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Tier 1 Margin Lending - Personal Advice - Other - Kaplan Professional |
| Roger Wilson | 2003 | 1995 - Bachelor of Business (Accounting) - - RMIT University ~ 2003 - Certified Practising Accountant (CPA) - - CPA Australia ~ 2009 - Master of Financial Planning - - RMIT University ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |