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 |
|---|---|---|
| Evan Theodorou | 2011 | 2005 - Bachelor of (Hons) Commerce (Economics & Finance) - - Monash University ~ 2008 - ADA Level 1 & 2 - - Kaplan ~ 2008 - Securities and Managed Investments - - Securities & Derivatives Industry Association ~ 2010 - Margin Lending Accreditation - - Deakin University ~ 2015 - Diploma of Financial Planning - - Kaplan |
| Martin Richard Whitehead | 2010 | 1999 - Bachelor of Commerce - - University of Melbourne ~ 1999 - Bachelor of Laws - - University of Melbourne ~ 2010 - Core 1: Securities & Managed Investments Accreditation Program - - Stockbrokers Association of Australia ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2012 - Diploma of Financial Services (Financial Planning) (FNS50804) - - Kaplan Professional Education |