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 |
|---|---|---|
| Andrew James Mackenzie | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2013 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| Anne Marie Graham | 1999 | 1998 - Certified Practising Accountant - Professional Designations - CPA Australia ~ 2001 - Certified Financial Planner - Professional Designations - Deakin University ~ 2002 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2005 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2014 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional Education |
| David Alexander Bennett | 2017 | 2012 - Deakin University - - Bachelor of Commerce (Finance and Financial Planning) |
| Jeromy Michael Gratian | 2013 | 2007 - Bachelor of Applied Science - - Deakin University ~ 2015 - Diploma of Financial Planning - - Investment Banking Institute ~ 2015 - Self Managed Superannuation Funds accreditaion - - Kaplan Professional |
| Kevin LY | 2015 | 2011 - Bachelor of Business (Accounting & Finance) - - Monash University ~ 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2016 - Advice in Margin Lending - - Kaplan ~ 2016 - Self Managed Superannuation Funds - - Kaplan |
| Paul Joseph Kearney | 1998 | 1986 - Bachelor of Commerce - - University of Melbourne ~ 1996 - CPA Program - - CPA Australia ~ 1998 - Introductory Financial Planning - - PACT ~ 2002 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2010 - Margin Lending & Geared Investments - - Kaplan |