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 | 1989 - Bachelor of Economics (Honours) - - Monash University ~ 2012 - Diploma of Financial Planning - - GWM Adviser Services Ltd ~ 2015 - TASA and the TPB Code of Professional - - Kaplan Professional |
| Franco Trimboli | 2015 | 2013 - Bachelor of Business (Economics and Finance) - - RMIT University ~ 2014 - Diploma of Financial Planning - - Integrity Education Group ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Integrity Education Group ~ 2021 - Tax (Financial) Adviser - Professional Designations - Tax Practitioners Board ~ 2022 - Ethics and Professionalism in Finacial Advice - Bridging Course - Ethics - Kaplan Education Pty Ltd |
| John Joseph Stitt | 1996 | 2013 - Diploma of Financial Planning - - International Institute of Technology |
| Rowan Alexander Simpson | 2021 | 2003 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Tasmania ~ 2006 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - University of Sunshine Coast |
| Simon Andrew Kelman | 2009 | 2009 - Diploma of Financial Services (Financial Planning) FNS50804 - - Kaplan Education Pty Limited ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) FNS60404 - - Kaplan Professional Education ~ 2012 - FNS10 Financial Services Training Package - - Terra Cordis Pty Ltd |
| Vishal Bakshi | 2008 | 2005 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2007 - Advanced Diploma Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2012 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |