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 limited to:
old law securities options contracts and warrants;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives limited to:
old law securities options contracts and warrants; and
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 limited to:
old law securities options contracts and warrants;
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 |
|---|---|---|
| David Samuel Silver | 2007 | 2007 - Bachelor of Business Financial Planning - Bachelor Degree (AQF 7) - RMIT University ~ 2011 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional |
| Eli Staub | 2003 | 2003 - Bachelor of Commerce - - Deakin University ~ 2003 - Diploma of Financial Services (Financial Planning) - - AMP Financial Services ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca Learning (Aust) Pty Ltd ~ 2011 - CPF - - Kaplan |
| Hayden Keith Lewis | 2011 | 2006 - Bachelor of Commerce - - Deakin University ~ 2009 - Graduate Diploma of Financial Planning - - Kaplan (formerly FINSIA) ~ 2011 - Diploma of Financial Planning - - Financial Planning Association (FPA) |
| Justin Wood | 2003 | 2000 - Bachelor of Business - - Royal Melbourne Institute of Technology ~ 2006 - Graduate Diploma of Financial Planning - - Finsia ~ 2011 - CFP - - Financial Planning Association of Australia ~ 2011 - SMSF Specialist Advisors - - SMSF Association |
| Steven Kenneth Sutcliffe | 2024 | 2003 - Batchelor of Business (Financial and Risk Management) - Bachelor Degree (AQF 7) - Victoria University ~ 2016 - Masters of Professional Accounting - Masters Degree (AQF 9) - Monash University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Victor Denis Fallon | 2018 | 2012 - Bachelor of Commerce (FIN) - - Deakin ~ 2012 - Bachelor of Science - - Deakin University ~ 2016 - Diploma of Financial Planning - - Pinnacle Financial Services |