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 | 1984 - Bachelor of Economics - - La Trobe University ~ 1986 - Certified Practising Accountant - - CPA ~ 1991 - Graduate Diploma of Accounting - - Melbourne University ~ 1999 - Certified Financial Planner and DFP 8 - - FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLLAN |
| Cameron James Vallve | 2008 | 1998 - Bachelor of Commerce - - University of Melbourne ~ 2007 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd |
| Daniel James Palmer | 2018 | 2018 - Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2023 - Bachelor of Business (Financial Planning) - Bachelor Honours Degree (AQF 8) - University of South Australia |
| Dylan Pargiter-green | 2016 | 2014 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Richard Martin Owen | 2001 | 1993 - Mathematics with Management - Bachelor Honours Degree (AQF 8) - The University of Liverpool ~ 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) ~ 2006 - Certified Financial Planner - Professional Designations - FPA ~ 2020 - FINC20031 Ethical Financial Planning Practice - Bridging Course - Ethics - CQ University ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - KAPLAN |
| William Jackson | 2013 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Investment Banking Institute (IBI) ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - FPC007B - Bridging Course - Behavioural Finance - Kaplan Professional |