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; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Bernard Patrick Cooney | 1992 | Bachelor of Economics - La Trobe University ~ Certified Financial Planner and DFP 8 - FPA ~ Certified Practising Accountant - CPA ~ Ethics and Professionalism in Financial Advice - KAPLLAN ~ Graduate Diploma of Accounting - Melbourne University |
| Cameron James Vallve | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Bachelor of Commerce - University of Melbourne ~ Bachelor of Commerce - University of Melbourne ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd |
| Dylan Pargiter-green | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - University of Melbourne ~ Diploma of Financial Planning - Integrity Education Group ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Richard Martin Owen | 2001 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - Financial Planning Association of Australia (FPA) ~ Economic and Legal Context for Financial Planning - KAPLAN ~ FINC20031 Ethical Financial Planning Practice - CQ University ~ Mathematics with Management - The University of Liverpool |
| William Jackson | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Investment Banking Institute (IBI) ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |