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 |
|---|---|---|
| James William Meehan | 2018 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2023 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of New England |
| Mark Anthony Ralph | 1996 | 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2001 - CFP Certification Program - Professional Designations - Financial Advice Association of Australia (FAAA) |
| Michael Rizzo | 1999 | 2004 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2010 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Philip Barclay | 2000 | 1992 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Newcastle ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2004 - CFP Certification Program - Professional Designations - Financial Advice Association of Australia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Stephen Lewis | 2001 | 2004 - Certificate in Applied Self Managed Super Fund Advice - - Tower Trust ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional |
| Victoria Nicole Habra | 2017 | 2015 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2017 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - CFP Certification Program - Professional Designations - Financial Advice Association of Australia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |