This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients 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;
standard margin lending facility; and
superannuation; and
provide financial product advice to wholesale clients for the following classes of financial products:
interests in managed investment schemes limited to:
MDA services;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product to wholesale clients in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services;
applying for, acquiring, varying or disposing of a financial product on behalf of another person to retail and wholesale clients 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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person to wholesale clients in respect of the following classes of products:
interests in managed investment schemes limited to:
MDA services.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Cameron Craig Mcallister | 2006 | 1994 - Bachelor of Commerce (Accounting & Finance Marketing - Bachelor Degree (AQF 7) - Deakin University ~ 1998 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2003 - CPA Program - Professional Designations - CPA Australia ~ 2006 - Self Managed Superannuation Fund - Certificate (AQF 1-4) - Tribeca ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Higher Education Pty Limited ~ 2013 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| James Elliot Grindrod | 2012 | 2005 - Bachelor of Commerce (Finance and Economics) - Bachelor Degree (AQF 7) - Victoria University of Wellington ~ 2011 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2025 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Rebecca DE Simoni | 2014 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Education Pty Limited ~ 2012 - Diploma of Management - Diploma (AQF 5) - Kaplan Education Pty Limited ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Education Pty Limited ~ 2024 - SMSF Regulations and Taxation - Other - Kaplan Higher Education Pty Limited ~ 2024 - Taxation for Financial Planning - Other - Kaplan Higher Education Pty Limited ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Sean James Hurren | 2018 | 2016 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Zhaohui Raf Yang | 2018 | 2008 - Diploma of Business (Business) - Diploma (AQF 5) - Monash College ~ 2010 - Bachelor of Business - Banking & Finance - Bachelor Degree (AQF 7) - Monash University ~ 2011 - Master of Applied Finance - Masters Degree (AQF 9) - Monash University ~ 2015 - CPA Program - Professional Designations - CPA Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |