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;
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;
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 |
|---|---|---|
| Bruce Anthony Chisholm | 2002 | 1985 - Bachelor of Business - Bachelor Degree (AQF 7) - Victoria College ~ 2005 - Certified Financial Planner - - CFP ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association |
| Calvin Mcleod | 2018 | 2011 - Bachelor of Business and Commerce - Bachelor Degree (AQF 7) - Monsash University ~ 2015 - CPA - Professional Designations - CPA Australia ~ 2016 - Diploma of Financial Planning - - Integrity Education ~ 2018 - SMSF Specialist Advisor - Professional Designations - SMSF Association ~ 2019 - FPC002B Ethics and Porfessionalism in Financial Advice - Bridging Course - Ethics - KAPLAN PROFESSIONAL |
| Richard John Vaughan | 2011 | 2012 - Advanced Diploma in Financial Planning - - Kaplan ~ 2014 - SMSF Specialist Advisor - - SMSF Association |
| Silvio Gerard Marinelli | 2014 | 1994 - Bachelor of Business - - Deakin University ~ 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2015 - SMSF National Conference - - SMSF Association ~ 2015 - Succession Planning - - Succession + |