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;
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;
from 1 July 2022, securities in a CCIV;
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;
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;
from 1 July 2022, securities in a CCIV;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Jessie Mccormack | 0 | 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Roshan Pandalai | 2015 | 2015 - Diploma of Financial Planning - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan ~ 2018 - Tier 1 Margin Lending - Other - Kaplan ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - Masters Of Financial Planning - Masters Degree (AQF 9) - KAPLAN |
| Yannick Charles Fitzsimmons | 0 | 2017 - Diploma of Financial Planning - Diploma (AQF 5) - KAPLAN ~ 2024 - Bachelor Of Business - Financial Planning - Bachelor Degree (AQF 7) - RMIT |