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;
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 in respect of the following classes of financial products:
derivatives; and
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;
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 |
|---|---|---|
| Jonathan Eric Riley | 2017 | 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Matthew Clipstone | 0 | 2016 - Bachelor of Accounting - Bachelor Degree (AQF 7) - Monash University ~ 2020 - CFA - Professional Designations - CFA Institute ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicholas Partridge | 2013 | 2012 - RG 146 Investments (General Advice) - - Mentor Education ~ 2014 - RG 146 Personal Advice - - Mentor Education ~ 2015 - Diploma of Financial Planning - - Mentor Education |
| Simon John Cunnington | 1996 | 1996 - Bachelor of Arts - - Monash University ~ 2004 - Accredited Derivatives - Level 1 - - ASX ~ 2007 - Accredited Derivatives Level 2 - - ASX ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education |