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 |
|---|---|---|
| Flor DE Maria Rivera | 2015 | 2012 - Diploma Of Financial Services (Financial Planning) - - Kaplan Professional ~ 2016 - Advanced Diploma Of Financial Planning - - Kaplan Professional ~ 2016 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Gavin Martin | 2004 | 1997 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - LaTrobe University ~ 1997 - Bachelor of Computing - Bachelor Degree (AQF 7) - LaTrobe University ~ 2004 - Advanced Diploma of Financial Services (Financial Planning) - - Financial Planning Association ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Mark Bezemer | 2007 | 1998 - Bachelor of Business (Marketing) - - Monash University ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2012 - 928S Margin Lending - Other - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2016 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional |
| Mark Boyd | 2017 | 2004 - Bachelor of Commerce - - The University of New South Wales ~ 2015 - Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2015 - Graduate Diploma of Chartered Accounting - - Chartered Accountants Australia & New Zealand ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2017 - Self Managed Superannuation Funds - - Kaplan Education Pty Ltd |