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; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrei Chorokhov | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of International Business - Macquarie University |
| Angus Mcintyre Dockrill | 2001 | Bachelor of Commerce - University of Sydney ~ Certified Financial Planner (CFP) - FPA ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - FINSIA |
| Daniel John Blatch | 2011 | Bachelor Applied Science - University of Sydney ~ Diploma Financial Services (Financial Planning) FNS50804 - Kaplan Australia ~ RG146 Margin Lending - MLC ThreeSixty |
| Joanne Matia Matthews | 2012 | Diploma Of Financial Planning - Financial Planning Association Of Australia ~ Self Managed Super Funds - Kaplan Professional Education |
| John Foley | 1998 | Advanced Diploma of Financial Planning FNB60402 - MLC ThreeSixty ~ Bachelor of Economics - University of Adelaide ~ Diploma Financial Planning DFP 1-7 - Financial Planning Association (FPA) ~ Master of Business Administration - Deakin University ~ Master of Management - Macquarie University |
| Kurt Armbruster | 2011 | Advanced Diploma Financial Planning - Kaplan ~ Behavioural Heuristics - UNE ~ Diploma of Financial Planning - Intelletrain ~ Ethics - UNE ~ FChFP - FAAA |
| Lisette Anne Walsh | 2005 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - MLC ThreeSixty ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma Financial Services (Financial Planning) FNS50802 - MLC ThreeSixty ~ RG146 Margin Lending - MLC ThreeSixty |
| Scott James Douglas | 1999 | Bachelor Commerce (Accounting) - Western Sydney University ~ RG146 Margin Lending - MLC ThreeSixty |
| Vincent Patrick Dore | 2000 | Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ Ethics and Professionalism in Financial Advice - Kaplan ~ RG146 Margin Lending - MLC ThreeSixty |