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 limited to:
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 limited to:
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 |
|---|---|---|
| Adam Carmody | 2005 | 2003 - Diploma of Financial Planning - - FPA ~ 2011 - CFP - - FPA ~ 2013 - Diploma Finance & Mortgage Broking - - AAMC ~ 2015 - SMSF - - Kaplan |
| Benjamin Lindsay | 2014 | 2013 - Diploma of Financial Planning - - Investment Banking Institute ~ 2014 - Self Managed Superannuation Funds - - Mentor Education |
| Daniel Cooper Greig Milne | 2017 | 2017 - Diploma of Financial Planning - - Monarch Institute |
| Ethan Phillip Riley | 0 | 2024 - Bachelors of Business (Financial Planning Major) - Bachelor Degree (AQF 7) - Swinburne University |
| Gavin Derepas | 2005 | 2006 - PS 146 - - Tribeca ~ 2009 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - Intellitrain ~ 2013 - Self Managed Superannuation Funds - - Kaplan ~ 2016 - Direct Equities Course - - Kaplan |
| Sean Oscar Santoro | 2005 | 2004 - Diploma of Financial services - - National Insurance Brokers Association ~ 2008 - Diploma of Financial Services (Financial Planning) - - Mentor Education ~ 2009 - Certificate IV in Financial Services (Finance/Mortgage Broking) - - Universal Wealth Management ~ 2014 - Self Managed Superannuation Funds - - Mentor Education |
| Simone Theresa Anne Evans | 2018 | 1998 - Bachelor Degree in Accounting - - Charles Sturt University ~ 2018 - Diploma of Financial Planning - - Monarch Institute ~ 2022 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch |