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 | Accredited Derivatives Adviser, Level 2 - Kaplan Professional ~ Bachelor of Commerce - University of Melbourne ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - RMIT ~ Securities Institute Diploma Course - Securities Institute of Australia |
| Cristian Tudor | 2016 | FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Super Funds - Kaplan Professional |
| Danielle Strauss | 2023 | Advanced Diploma of Financial Planning - Monarch Institute ~ Commercial Law - Kaplan Professional ~ Diploma of Financial Planning - Monarch Institute ~ Graduate Certificate in Applied Finance - Kaplan ~ Master of Financial Planning - Kaplan |
| Paul Anthony Stone | 1999 | Certified Financial Planner - Financial Planning Association of Australia Limited ~ Diploma of Financial Advising - Securities Institute of Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Financial Plan Construction & Review (DFP 8) - Financial Planning Association of Australia Limited ~ Margin Lending & Geared Investments - Kaplan Professional |
| Rivee Dylan Tai Tao | 2016 | Accredited Derivatives Adviser Level 1 - Kaplan Professional ~ Bachelor of Business (Accounting) - Swinburne University of Technology ~ FPC002B - Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Tier 1 Adviser Compliance - Superannuation, Managed Investments, Life Insurance, Financial Planning - Kaplan Professional ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional |
| Roger Wilson | 2003 | Bachelor of Business (Accounting) - RMIT University ~ Certified Practising Accountant (CPA) - CPA Australia ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - RMIT University |