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 | 2018 - Bachelor of Business (Finance and Investment) - Bachelor Degree (AQF 7) - Federation University Australia ~ 2021 - FASEA Financial Adviser Exam - Other - Financial Adviser Standards and Ethics Authority ~ 2024 - FPC001B Economic and Legal Context for Financial Planning - Other - Kaplan Higher Education Pty Limited ~ 2024 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2024 - FPC006 Taxation for Financial Planning - Other - Kaplan Higher Education Pty Limited ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2025 - SMSF Specialist Advisor - Professional Designations - SMSF Association Ltd |
| James Malliaros | 2005 | 1987 - Bachelor of Science - Bachelor Degree (AQF 7) - Monash University ~ 1990 - Bachelor of Economics - Bachelor Degree (AQF 7) - Monash University ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2013 - SMSF Specialist Advisor - Professional Designations - SMSF Association Ltd ~ 2018 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2020 - FASEA Financial Adviser Exam - Other - Financial Adviser Standards and Ethics Authority |
| Orrin Shaw | 2022 | 2019 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2019 - Commercial Law - Other - Royal Melbourne Institute of Technology ~ 2019 - Taxation 1 - Other - Royal Melbourne Institute of Technology ~ 2021 - FASEA Financial Adviser Exam - Other - Financial Adviser Standards and Ethics Authority ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2022 - Professional Year - Other - Financial Adviser Standards and Ethics Authority |
| Patrick William Malcolm | 2012 | 2005 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2006 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Financial Services Institute of Australasia ~ 2008 - Master of Applied Finance - Masters Degree (AQF 9) - The University of Melbourne ~ 2013 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia Limited ~ 2014 - SMSF Specialist Advisor - Professional Designations - SMSF Association Ltd ~ 2019 - FASEA Financial Adviser Exam - Other - Financial Adviser Standards and Ethics Authority ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Paul James Nicol | 1999 | 2008 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2012 - SMSF Specialist Advisor - Professional Designations - SMSF Association Ltd ~ 2019 - FASEA Financial Adviser Exam - Other - Financial Adviser Standards and Ethics Authority |
| Ruth Amelia Paullo Nunez | 2016 | 2014 - BTF1010 Commercial Law - Other - Monash University ~ 2015 - Bachelor of Business - Bachelor Degree (AQF 7) - Monash University ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2020 - FASEA Financial Adviser Exam - Other - Financial Adviser Standards and Ethics Authority ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2022 - FPC006 Taxation for Financial Planning - Other - Kaplan Higher Education Pty Limited ~ 2024 - SMSF Specialist Advisor - Professional Designations - SMSF Association Ltd ~ 2025 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited |
| Samuel Jackson Eley | 2010 | 2016 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education Pty Limited ~ 2017 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2020 - FASEA Financial Adviser Exam - Other - Financial Adviser Standards and Ethics Authority ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Wenjie Fang | 2018 | 2015 - Master of Finance - Masters Degree (AQF 9) - The University of Melbourne ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2018 - Tax for Financial Advising - Other - Kaplan Higher Education Pty Limited ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2020 - FASEA Financial Adviser Exam - Other - Financial Adviser Standards and Ethics Authority ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2024 - Commercial Law - Other - Kaplan Higher Education Pty Limited |