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 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
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 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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Ezio Nania | 1998 | Bachelor of Commerce (Honours) - Melbourne University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia |
| Francis Lee | 2013 | Bachelor of Commerce - Melbourne University ~ Introductory Personal Finance - Melbourne University ~ Margin Lending and Geared Investments - Kaplan |
| Jack Ettia | 1996 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Diploma of Insurance - Australian Insurance Institute ~ Self Managed Super Fund Specialist - Tribeca |
| Michelle Marie Case | 1996 | Bachelor of Science - Monash University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Securities Institute Diploma - Securities Institute of Australia ~ Self Managed Super Fund Specialist - Tribeca |
| Peter John Mason | 2001 | Bachelor of Arts in Industrial Design - RMIT ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ SMSF Accreditation - AXA Excellence |
| Sharyn Gipperich | 1996 | Bachelor of Business (Accounting) - Phillip Institute of Technology/RMIT ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Finance and Mortgage Broking Management - The National Finance Institute ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Stuart Mathieson | 2007 | Bachelor of Business (Acc)/Bachelor of Business (Banking and Finance) - Monash University ~ Graduate Diploma in Applied Finance and Investment - Finsia ~ Graduate Diploma of Financial Planning - Finsia/Kaplan ~ Master of Applied Finance - Kaplan ~ SMSF Accreditation - AXA Excellence |