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 |
|---|---|---|
| Andrew Jon Arnold | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor Of Commerce - Bond University ~ Diploma Of Financial Planning - Mentor Education |
| Ian Matthew Fox | 2008 | Advance Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Certificate IV of Mortgage Broking - Kaplan Professional ~ Graduate Diploma in Taxation Law - University of Melbourne ~ Masters Degree of Business (Accounting) - Victoria University of Technology |
| Kamalpreet Singh Sarai | 2003 | Certificate IV Mortgage Broking - Kaplan Professional ~ Certificate IV Mortgage Broking - Kaplan Professional ~ Certified Financial Planner - Financial Planning Association of Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Diploma of Financial Planning - Deakin University ~ Double Degree in International Business and Commerce - Griffith University ~ Double Degree in International Business and Commerce - Griffith University ~ Graduate of the Australian Institute of Company Directors - Australian Institute of Company Directors ~ Graduate of the Australian Institute of Company Directors - Australian Institute of Company Directors |
| Katerina Sousalis | 2003 | Bachelor of Visual Arts - Majoring in Interior Design - Griffith University ~ Certificate IV in Financial Services (Finance and Mortgage Broking) - Kaplan Professional ~ Diploma of Financial Planning - Deakin University |
| Katrina Pulbrook | 1997 | Certified Financial Planner - Deakin University ~ Diploma of Financial Planning - Deakin University |
| Sonal Gupta | 2013 | Advanced Diploma of Financial Services (Financial Planning) - Advice Education ~ Bachelor of Business Administration (Human Resource Management) - Punjab Technical University, India ~ Diploma of Financial Services (Financial Planning) - Advice Education ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - Guru Nanak Dev University, India |
| Trevor Scutt | 2006 | Master of Financial Planning - RMIT ~ Self Managed Superannuation Funds - Kaplan Professional |