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;
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
deal in a financial product by:
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| John Alexander Kelly | 1999 | 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - Diploma of Financial Services(Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2011 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan ~ 2012 - SMSF Specialist Adviser - Certificate (AQF 1-4) - Self Managed Super Fund Association ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Katie Leigh Mckenna | 2005 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2006 - Certificate IV in Financial Planning - - Tribeca ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education |
| Leonardo Vargiu | 1999 | 1988 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - RMIT ~ 2002 - Certified Financial Planner (CFP) - Other - Financial Planning Association of Australia (FPA) ~ 2011 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Finance Essentials ~ 2012 - Self Managed Super Funds - Specialist Auditor - Other - SPAA (SMSF Professionals Association of Australia) ~ 2012 - Self Managed Super Funds Specialist Advisor - Certificate (AQF 1-4) - SPAA (SMSF Professionals Association of Australia) |
| Mario DI Martino | 1989 | 2004 - Advanced Diploma Financial Services (Financial Planning) - - Tribeca ~ 2004 - Diploma Financial Services (Financial Planning) - - Tribeca ~ 2006 - SMSF Borrowings Specialist Adviser Program, - - Financial Planning Association of Australia (FPA) ~ 2011 - Margin Lending and Geared Investments - - Financial Essentials ~ 2016 - Accredited Aged Care Professional - - Aged Care Steps |
| Matthew David Raleigh | 2005 | 2000 - Bachelor of Business (Banking & Finance) - - Victoria University of Technology ~ 2003 - Diploma of Financial Planning - - Kaplan ~ 2009 - Certificate IV in Financial Services - - Kaplan ~ 2013 - Diploma of Finance & Mortgage Broking Management - - Kaplan |
| Michael Lavery | 2000 | 1992 - Bachelor of Humanities - Bachelor Degree (AQF 7) - Latrobe University ~ 1996 - Graduate Diploma of Applied Finance & Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2001 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2002 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) |
| Peter Lynton Slate | 2001 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2010 - Margin Lending & Geared Investments - Other - Kaplan Professional ~ 2014 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Sarah Amy Rickuss | 2010 | 2007 - Diploma of Financial Services (Superannuation) - Diploma (AQF 5) - The Association of Superannuation Funds of Australia Limited ~ 2009 - Advanced Diploma of Financial Services (Superannuation) - Advanced Diploma (AQF 6) - The Association of Superannuation Funds of Australia Limited ~ 2010 - Margin Lending Accreditation Program - Other - Deakin Prime Corporate Education ~ 2014 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University ~ 2014 - Financial Units - Other - Open Universities Australia ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |