This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
derivatives;
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:
issuing, applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients in respect of the following classes of financial products:
derivatives; and
arranging for another person to issue, acquire, vary or dispose of a financial product to wholesale clients only in respect of the following classes of financial products:
securities; and
applying for, acquiring, varying or disposing of a financial product to retail and wholesale clients 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;
derivatives;
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;
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Brent Charles Quinn | 2010 | Bachelor of Business Marketing Major - Swinburne University ~ Bachelor of Business Marketing Major - Swinburne University ~ Diploma of Financial Planning - Mentor Education Group ~ Diploma of Financial Planning - Mentor Education Group ~ Self Managed Super Fund - Kaplan ~ Self Managed Super Fund - Kaplan |
| Dylan Ivan Mayes | 2023 | Bachelor of Accounting (Accounting, Financial Planning) - La Trobe University ~ Bachelor of Accounting (Accounting, Financial Planning) - La Trobe University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Dylan James Cresswell | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Business (Accounting) - Victoria University ~ Bachelor of Business (Accounting) - Victoria University ~ Certified Financial Planner - FPA ~ Certified Financial Planner - FPA ~ Diploma of Financial Services - Tribeca ~ Diploma of Financial Services - Tribeca ~ Self Managed Super Funds - Kaplan ~ Self Managed Super Funds - Kaplan |
| Jarrod Kevin Rodda | 2018 | Bachelor of Commerce - Deakin University ~ Bachelor of Commerce - Deakin University ~ CFP - Financial Planning Association ~ CFP - Financial Planning Association ~ Certificate in Self Managed Super Funds - Kaplan Professional ~ Certificate in Self Managed Super Funds - Kaplan Professional ~ Diploma of Financial Planning - International Institute of Technology ~ Diploma of Financial Planning - International Institute of Technology ~ Master of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Livio Caiolfa | 2001 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Group ~ Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Group ~ Bachelor of Business - Accounting and Banking & Finance - Monash University ~ Bachelor of Business - Accounting and Banking & Finance - Monash University ~ Level 1 & 2 Accredited Derivatives Adviser - ASX ~ Level 1 & 2 Accredited Derivatives Adviser - ASX ~ Margin Lending - Kaplan ~ Margin Lending - Kaplan ~ Self Managed Super Funds - Kaplan ~ Self Managed Super Funds - Kaplan |
| Marcus John Ainger | 2008 | Bacherlors of Business B&F - Monash ~ Bacherlors of Business B&F - Monash ~ Certified Financial Planner - FPA ~ Certified Financial Planner - FPA ~ Graduate Diploma in Financial Planning - Finsia ~ Graduate Diploma in Financial Planning - Finsia ~ Margin Lending - Kaplan ~ Margin Lending - Kaplan ~ Self Managed Super Fund - Financial Essentials ~ Self Managed Super Fund - Financial Essentials |
| Mark Johnson | 1996 | Diploma of Financial Planning - Finsia ~ Diploma of Financial Planning - Finsia ~ Graduate Diploma of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Margin Lending - Kaplan ~ Margin Lending - Kaplan ~ Self Managed Super Fund - Kaplan ~ Self Managed Super Fund - Kaplan |
| Michelle Elaine Bromley | 2000 | Bachelor Of Business - RMIT University ~ Bachelor Of Business - RMIT University ~ CFP - Financial Planning Association ~ CFP - Financial Planning Association ~ Diploma in Financial Planning - FPA Australia ~ Diploma in Financial Planning - FPA Australia |
| Nicole Ann Lewis | 2016 | Bachelor of Commerce - Deakin ~ Bachelor of Commerce - Deakin ~ Diploma of Financial Planning - Integrity Education Group ~ Diploma of Financial Planning - Integrity Education Group |