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;
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;
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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Carl Cavallaro | 2013 | 2004 - Diploma in International Business - - University of New England ~ 2006 - Bachelor of Commerce - - University of New England ~ 2008 - Diploma of Financial Services - - RG 146 ~ 2009 - Certificate IV Financial Services (Mortgage Broking) - - MFAA |
| Carlos Medrano | 2016 | 2013 - Bachelor of Business & Commerce - - Monarch University ~ 2014 - Diploma of Financial Planning - - Monarch ~ 2017 - Advanced Diploma of FInancial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2020 - Self Managed Superannuation Funds - Other - Kaplan Professional |
| Dylan Mail | 2003 | 1995 - Bachelor Of Commerce - - University Of Queensland ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan Professional Education |
| Felix Christopher Humphries | 2018 | 2017 - Bachelor of Finance (Financial Planning Major) - - University of Canberra |
| Steven James Ellis | 2018 | 2000 - Bachelor of Business - Bachelor Degree (AQF 7) - Victoria University ~ 2005 - Certified Practising Accountant (CPA) - Professional Designations - CPA Australia ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |