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 |
|---|---|---|
| Allan Weston Johnson | 2004 | Diploma in Financial Services (Distribution) - Deakin Financial Planning Pty Ltd ~ Financial Services Essentials - Deakin Financial Planning Pty Ltd ~ Regulatory Guide 146 Assessment - Kaplan Education Pty Ltd |
| Bernard Maurice Maughan | 1995 | Bechelor of Arts Law and Philosophy - The University of Hull ~ Master of Business Administration - Northwestern University & The Hong Kong University of Science and Technology |
| Colin Stocks | 2006 | Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Ltd ~ Tier 1 Insurance Broking - Australian and New Zealand Institute of Insurance and Finance (ANZIIF) |
| Craig Ross | 1985 | Advanced Diploma of Financial Planning - Tribeca ~ Bachelor of Commerce (Finance & Marketing) - Curtin ~ Diploma of Financial Planning - Kaplan |
| Frank Varallo | 2018 | Advanced Diploma of Financial Planning - International Institute of Australia ~ Diploma of Financial Planning - Traineeship Management Australia |
| Goce George Mileski | 2001 | Bachelor of Economics Honours - La Trobe University ~ Certified Financial Planner - FPA ~ Graduate Diploma in Applied Finance and Investment - Financial Services Institute of Australasia ~ Graduate Diploma in Financial Planning - Financial Services Institute of Australasia |
| Gurprit Singh | 2005 | Diploma of Financial Services (Financial Planning) - Tribeca Learning (now Kaplan Business School) ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| John James Tait | 2011 | Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Services (Financial Planning) - AAMC Training Group |
| Martin Milton | 1999 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca Learning (Aust) Pty Ltd ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd ~ Self Managed Superannuation Funds - Kaplan |
| Nick Davos | 2005 | Bachelor Commerce/Science - Melbourne University ~ Diploma of Financial Planning - Deakin University |
| Paul Bowen | 1991 | Advanced Diploma in Financial Planning - Kaplan ~ Certificate in Financial Planning - Chartered Insurance Institue (CII) - UK ~ Certificate in Mortgage Advice - Chartered Insurance Institue (CII) - UK ~ Diploma in Financial Planning - Chartered Insurance Institue (CII) - UK ~ Diploma in Financial Planning - Kaplan |
| Rebecca Viola Firns | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Financial Planning Association ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - DFP 1 - 7 - Financial Planning Association ~ Margin Lending & Geared Investments - Kaplan Professional ~ SMSF Specialist Advisor - SMSF Association |
| Robert Bruce Mcneilage | 2004 | Entry Level Competencies (Dip FP 1) - Integratec ~ Life Products - Integratec ~ RSA - Integratec ~ Superannuation - Integratec |
| Sebastian Andrew Benade | 2009 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - Kaplan Australia ~ Bachelor Business (International Business) - University of Sunshine Coast ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia ~ RG146 Tier 1 Margin Lending - Kaplan Australia |
| Steven Michael Milios | 2009 | Cert III in Financial Planning (Financial Planning: Principles & Applications) - The Australian Institute of Financial Studies Pty Ltd ~ Insurance Planning: Principles & Applications - The Australian Institute of Financial Studies Pty Ltd ~ Investment Planning 2 (90879NSW) - Integratec (Aust) Pty Ltd ~ Superannuation & Retirement Planning - The Australian Institute of Financial Studies Pty Ltd |