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;
interests in managed investment schemes limited to:
MDA 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:
interests in managed investment schemes limited to:
MDA services; 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;
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Anthony Ivan Baum | 1986 | 1988 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2003 - Graduate Diploma of Applied Finance & Investments - Graduate Diploma (AQF 8) - KAPLAN |
| Christian James Jarrad | 2008 | 2001 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2007 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - KAPLAN |
| Mark Serry | 1998 | 1996 - Bachelor of Economics (First Class Honours) - Bachelor Honours Degree (AQF 8) - Monash University ~ 2001 - Graduate Diploma of Applied Finance & Investments - Graduate Diploma (AQF 8) - KAPLAN ~ 2004 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2006 - SMSF Special Advisor - Professional Designations - Self Managed Super Fund Association |
| Ngoc Christodoulou | 2018 | 2006 - Advanced Diploma of Financial Planning - - Kaplan |
| Paul Sharkey | 2003 | 1997 - Bachelor of Applied Science - Bachelor Degree (AQF 7) - University of Melbourne ~ 2006 - Advanced Diploma in Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - KAPLAN ~ 2010 - Master of Entrepreneurship & Innovation - Masters Degree (AQF 9) - Swinburne University of Technology |
| Timothy James Arbon | 2013 | 2008 - Diploma of Financial Services - Diploma (AQF 5) - KAPLAN ~ 2011 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - KAPLAN ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - KAPLAN |
| William Vuong | 2009 | 2005 - Bachelor of Commerce (Honours) - Bachelor Degree (AQF 7) - University of Melbourne ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2013 - CFP - Professional Designations - FPA ~ 2019 - Ethics + Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |