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 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education |
| David Alexander Bennett | 2017 | Deakin University - Bachelor of Commerce (Finance and Financial Planning) |
| Jeromy Michael Gratian | 2013 | Bachelor of Applied Science - Deakin University ~ Diploma of Financial Planning - Investment Banking Institute ~ Self Managed Superannuation Funds accreditaion - Kaplan Professional |
| Kevin LY | 2015 | Advice in Margin Lending - Kaplan ~ Bachelor of Business (Accounting & Finance) - Monash University ~ Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan |
| Nga Hoang Nguyet VU | 2003 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Business (Financial Planning) - RMIT University ~ Certified Financial Planner - Financial Planning Association of Australia |
| Paul Joseph Kearney | 1998 | Bachelor of Commerce - University of Melbourne ~ CPA Program - CPA Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Introductory Financial Planning - PACT ~ Margin Lending & Geared Investments - Kaplan |