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;
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 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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
Name | First provided advice | Qualification and trainings |
---|---|---|
Adam Cory Blanchard | 2015 | 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Bachelor of Business (Finance and Investment) - - Federation University Australia ~ 2021 - FASEA (Financial Adviser) Exam - Other - FASEA |
James Malliaros | 2005 | 1990 - Bachelor of Economics / Science - - Monash University ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - SMSF Specialist Advisor - - SMSF Association ~ 2018 - Certified Financial Planner - Professional Designations - Financial Planning Association Australia ~ 2020 - FASEA Financial Adviser Exam - Other - FASEA |
Orrin Shaw | 2022 | 2019 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - FAESA Exam - Other - ACER |
Patrick William Malcolm | 2012 | 2005 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Melbourne ~ 2006 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australai ~ 2008 - Master of Applied Finance - Masters Degree (AQF 9) - University of Melbourne ~ 2013 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Paul James Nicol | 1999 | 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2019 - FASEA Financial Adviser Exam - Other - FASEA |
Ruth Amelia Paullo Nunez | 2016 | 2014 - Bachelor of Business - Bachelor Degree (AQF 7) - Monash University ~ 2016 - Core 1 Securities & Managed Investments - Diploma (AQF 5) - Deakin Prime ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - FASEA Financial Adviser Exam - Other - FASEA |
Samuel Jackson Eley | 2010 | 2010 - Diploma of Financial Services - - Kaplan ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan ~ 2016 - Certificate IV in Finance and Mortgage Broking - - Kaplan ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
Wenjie Fang | 2018 | 2018 - Diploma of Financial Planning - - Kaplan Education Pty Ltd |