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 | Bachelor Business (Finance) - Victoria University ~ Certified Financial Planner - Financial Planning Assoication ~ Diploma Finance Services - Kaplan ~ Life Risk Specialist - Financial Planning Association |
| Evelyn Phyllis Ali | 2006 | Bachelor Business Accounting - Victoria University ~ Certified Financial Planner - FPA ~ Diploma Financial Planning - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Garry Lawrence Ransome | 1999 | Certified Financial Planner - FPA ~ Dipolma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Specialist Adviser - SMSF - Self Managed Super Fund Association |
| Jayden Ryan Lenon | 2014 | Bachelor of Business - RMIT University ~ CERTIFIED FINANCIAL PLANNER - Financial Planning Association of Australia ~ Diploma of Financial Services - Kaplan |
| Josh Gaylor | 2015 | Bachelor of Business - Victoria University ~ Diploma of Financial Planning - Kaplan Professional |
| Lauren Ainsworth | 2018 | Diploma of Financial Planning - Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Monica Lesley Cullen | 2018 | Advanced Diploma Of Financial Service (Financial Planning) - Kaplan |
| Riccardo Anthony Daquino | 2007 | Advanced Dipolma Financial Services - Kaplan ~ Bachelor of Commerce - La Trobe University ~ Diploma Business Marketing - NMIT ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |