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 |
|---|---|---|
| James Malliaros | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Economics / Science - Monash University ~ Certified Financial Planner - Financial Planning Association Australia ~ FASEA Financial Adviser Exam - FASEA ~ SMSF Specialist Advisor - SMSF Association |
| Orrin Shaw | 2022 | Bachelor of Business (Financial Planning) - RMIT ~ Ethics and Professionalism in Financial Advice - Kaplan ~ FAESA Exam - ACER |
| Patrick William Malcolm | 2012 | Bachelor of Commerce - University of Melbourne ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australai ~ Master of Applied Finance - University of Melbourne |
| Paul James Nicol | 1999 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ FASEA Financial Adviser Exam - FASEA |
| Ruth Amelia Paullo Nunez | 2016 | Bachelor of Business - Monash University ~ Core 1 Securities & Managed Investments - Deakin Prime ~ Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan ~ FASEA Financial Adviser Exam - FASEA |
| Samuel Jackson Eley | 2010 | Advanced Diploma of Financial Planning - Kaplan ~ Certificate IV in Finance and Mortgage Broking - Kaplan ~ Diploma of Financial Services - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Financial Planning - Kaplan |
| Wenjie Fang | 2018 | Diploma of Financial Planning - Kaplan Education Pty Ltd |