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;
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:
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anthony George Moore | 2012 | Bachelor of Economics (Honours) - Monash University ~ Diploma of Financial Planning - GWM Adviser Services Ltd ~ TASA and the TPB Code of Professional - Kaplan Professional |
| Bernardo Moyano | 2004 | Advanced Diploma of Financial Services - Kaplan Professional Education ~ Diploma of Financial Services - Kaplan Professional Education |
| Franco Trimboli | 2015 | Advanced Diploma of Financial Planning - Integrity Education Group ~ Bachelor of Business (Economics and Finance) - RMIT University ~ Diploma of Financial Planning - Integrity Education Group ~ Ethics and Professionalism in Finacial Advice - Kaplan Education Pty Ltd ~ Tax (Financial) Adviser - Tax Practitioners Board |
| John Joseph Stitt | 1996 | Diploma of Financial Planning - International Institute of Technology |
| Rowan Alexander Simpson | 2021 | Bachelor of Commerce - University of Tasmania ~ Graduate Diploma of Financial Planning - University of Sunshine Coast |
| Simon Andrew Kelman | 2009 | Advanced Diploma of Financial Services (Financial Planning) FNS60404 - Kaplan Professional Education ~ Diploma of Financial Services (Financial Planning) FNS50804 - Kaplan Education Pty Limited ~ FNS10 Financial Services Training Package - Terra Cordis Pty Ltd |
| Vishal Bakshi | 2008 | Advanced Diploma Services (Financial Planning) FNS60404 - Kaplan Australia ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia ~ RG146 Margin Lending - MLC ThreeSixty |