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;
derivatives;
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; 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;
derivatives;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Antonia Babanis | 0 | 2022 - Masters of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Brendan Patrick Murray | 2001 | 2004 - Diploma of Financial Planning - - Deakin University ~ 2008 - Certified Financial Planner - Professional Designations - Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Daniel Aitken | 2010 | 2009 - Bachelor of Commerce (Sport Management and Financial Planning) - - Deakin University ~ 2017 - Accredited Derivatives Adviser Level 1 - - Kaplan Professional Education ~ 2017 - Certified Financial Planner - - Financial Planners Association |
| Gary Pizzo | 1996 | 1994 - Bachelor or Business - Bachelor Degree (AQF 7) - Victoria University ~ 1999 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities institute ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Investment Banking Institute ~ 2014 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan ~ 2016 - Tier 1 Margin Lending - Personal Advice - Certificate (AQF 1-4) - Kaplan |
| Stephen Wayne Barrow | 2004 | 2003 - Diploma of Financial Planning (1-7) - - Deakin University ~ 2017 - Accredited Derivatives Adviser Level 1 - - Kaplan Professional Education |