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;
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;
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 |
|---|---|---|
| Adam Sobczak | 2015 | 2012 - Bachelor of Business ( Financial Risk Management & International Trade) - - Victoria University ~ 2012 - Bachelor of Business (Financial Risk Management/International Trade) - Bachelor Degree (AQF 7) - Victoria University ~ 2015 - Diploma of Financial Planning (1-3) - - KAPLAN Education ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Margin Lending - Personal Advice - - Mentor Education ~ 2017 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2017 - Self Managed Superannuation Fund Adviser (Personal Advice) - Other - Mentor Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Cornel Anthony Fernandez | 1999 | 1985 - Bachelor of Commerce - - Other ~ 1993 - Diploma of Business - - Loyola Institute of Business Administration ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - International Institute of Technology Pty Ltd (IIT) ~ 2010 - Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) |
| Deepak Raghvani | 2012 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - International Institute of Technology Pty Ltd (IIT) ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology Pty Ltd (IIT) ~ 2018 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - International Institute of Technology Pty Ltd (IIT) ~ 2018 - Diploma of Financial Services (Finance/Mortgage Broking Management) - Diploma (AQF 5) - International Institute of Technology Pty Ltd (IIT) |
| Hishan Ahamed Naufal | 2013 | 2010 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2014 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2020 - MAA728 Financial Behaviour and Decision Making - Bridging Course - Behavioural Finance - Deakin University ~ 2021 - MAA769 Ethics for Financial Services - Bridging Course - Ethics - Deakin University |
| Kym Smart | 2017 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Holmesglen Institute |
| Marlon DE Kauwe | 2013 | 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group ~ 2013 - Diploma of Life Insurance - Diploma (AQF 5) - Integrity Education Group ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Integrity Education Group ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Patrick Curlis | 2015 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |