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 |
|---|---|---|
| David James Russell | 2004 | 2002 - Bachelor Business (Finance) - - Victoria University ~ 2006 - Diploma Finance Services - - Kaplan ~ 2008 - Certified Financial Planner - - Financial Planning Assoication ~ 2011 - Life Risk Specialist - - Financial Planning Association |
| Evelyn Phyllis Ali | 2006 | 1987 - Bachelor Business Accounting - - Victoria University ~ 2005 - Diploma Financial Planning - - FPA ~ 2008 - Certified Financial Planner - - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Garry Lawrence Ransome | 1999 | 1999 - Dipolma of Financial Planning - - Kaplan ~ 2003 - Certified Financial Planner - - FPA ~ 2009 - Specialist Adviser - SMSF - - Self Managed Super Fund Association ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Jayden Ryan Lenon | 2014 | 2011 - Bachelor of Business - - RMIT University ~ 2012 - Diploma of Financial Services - - Kaplan ~ 2015 - CERTIFIED FINANCIAL PLANNER - - Financial Planning Association of Australia |
| Josh Gaylor | 2015 | 2012 - Bachelor of Business - - Victoria University ~ 2014 - Diploma of Financial Planning - - Kaplan Professional |
| Lauren Ainsworth | 2018 | 2013 - Diploma of Financial Planning - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Monica Lesley Cullen | 2018 | 2012 - Advanced Diploma Of Financial Service (Financial Planning) - - Kaplan |
| Riccardo Anthony Daquino | 2007 | 1995 - Bachelor of Commerce - - La Trobe University ~ 2001 - Diploma Business Marketing - - NMIT ~ 2009 - Advanced Dipolma Financial Services - - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Simon John Ereaut | 2012 | 2006 - Bachelor of Finance - Bachelor Degree (AQF 7) - La Trobe University ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |