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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alberto Diez | 2010 | 2001 - Bachelor of Business Administration with major studies in International Business - Bachelor Degree (AQF 7) - Western Sydney University ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Education Pty Limited ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education Pty Limited ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education Pty Limited |
| Andrew Jon Arnold | 2018 | 1999 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Bond University ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Diploma Of Financial Planning - - Mentor Education ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Ian Matthew Fox | 2008 | 1994 - Bachelor of Business - Bachelor Degree (AQF 7) - Victoria University of Technology ~ 1996 - Masters Degree of Business (Accounting) - - Victoria University of Technology ~ 2012 - Certificate IV of Mortgage Broking - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Serices (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Kamalpreet Singh Sarai | 2003 | 2004 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2004 - Double Degree in International Business & Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2008 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2012 - Certificate IV Mortgage Broking - - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Katerina Sousalis | 2003 | 1995 - Bachelor of Visual Arts - Majoring in Interior Design - - Griffith University ~ 2005 - Diploma of Financial Planning - - Deakin University ~ 2011 - Certificate IV in Financial Services (Finance and Mortgage Broking) - - Kaplan Professional |
| Katrina Pulbrook | 1997 | 2002 - Diploma of Financial Planning - - Deakin University ~ 2007 - Certified Financial Planner - - Deakin University |
| Trevor Scutt | 2006 | 2007 - Master of Financial Planning - Masters Degree (AQF 9) - Royal Melbourne Institute of Technology ~ 2009 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |