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 | Bachelor of Business (Banking and Finance) - Monash University ~ Graduate Diploma of Applied Finance & Investments - KAPLAN |
Christian James Jarrad | 2008 | Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Commerce - Deakin University |
Mark Serry | 1998 | Bachelor of Economics (First Class Honours) - Monash University ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Applied Finance & Investments - KAPLAN ~ SMSF Special Advisor - Self Managed Super Fund Association |
Ngoc Christodoulou | 2018 | Advanced Diploma of Financial Planning - Kaplan |
Paul Sharkey | 2003 | Advanced Diploma in Financial Services (Financial Planning) - KAPLAN ~ Bachelor of Applied Science - University of Melbourne ~ Master of Entrepreneurship & Innovation - Swinburne University of Technology |
Timothy James Arbon | 2013 | Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Commerce - Deakin University ~ Diploma of Financial Services - KAPLAN ~ Master of Financial Planning - KAPLAN |
William Vuong | 2009 | Bachelor of Commerce (Honours) - University of Melbourne ~ CFP - FPA ~ Ethics + Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - FINSIA |