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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
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; 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Jason Baker | 2014 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Paul DE Oleveira | 2013 | 2009 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2010 - Diploma in Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Peter David Mitchell | 2018 | 1992 - Bachelor of Education - Bachelor Degree (AQF 7) - University of Melbourne ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Shane Xavier Monte Silva | 2011 | 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Tyrone James Cammaroto | 2022 | 2020 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2023 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - AAMC Training Group ~ 2023 - SMSF Regulations and Taxation - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2023 - SMSF Specialist Advisor - Professional Designations - SMSF Association |
| Wesley Peterson | 0 | 2022 - Bachelor of Business (Accountancy) - Bachelor Degree (AQF 7) - RMIT ~ 2022 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT |