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 | 1988 - Bachelor of Commerce (Honours) - Bachelor Honours Degree (AQF 8) - Melbourne University ~ 1992 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia ~ 2000 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2000 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Francis Lee | 2013 | 2008 - Introductory Personal Finance - - Melbourne University ~ 2009 - Bachelor of Commerce - - Melbourne University ~ 2011 - Margin Lending and Geared Investments - - Kaplan |
| Jack Ettia | 1996 | 1994 - Diploma of Insurance - - Australian Insurance Institute ~ 1998 - Certified Financial Planner - - Financial Planning Association ~ 1998 - Diploma of Financial Planning - - Deakin University ~ 2004 - Self Managed Super Fund Specialist - - Tribeca |
| Michelle Marie Case | 1996 | 1985 - Bachelor of Science - - Monash University ~ 1990 - Securities Institute Diploma - - Securities Institute of Australia ~ 2000 - Diploma of Financial Planning - - Deakin University ~ 2003 - Certified Financial Planner - - Financial Planning Association ~ 2004 - Self Managed Super Fund Specialist - - Tribeca |
| Peter John Mason | 2001 | 1994 - Bachelor of Arts in Industrial Design - Bachelor Degree (AQF 7) - RMIT ~ 2004 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 2007 - SMSF Accreditation - Other - AXA Excellence ~ 2011 - CFP Certification - Professional Designations - Financial Advice Association of Australia ~ 2020 - Bridging Courses - Ethics; Regulation & Legal Obligations; and Behavioural Finance - Other - Kaplan |
| Sharyn Gipperich | 1996 | 1986 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Phillip Institute of Technology/RMIT ~ 1998 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Deakin University ~ 1999 - Certified Financial Planner - Professional Designations - Financial Advice Association of Australia ~ 2014 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - The National Finance Institute ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Stuart Mathieson | 2007 | 2003 - Bachelor of Business (Acc)/Bachelor of Business (Banking and Finance) - - Monash University ~ 2006 - Graduate Diploma in Applied Finance and Investment - - Finsia ~ 2007 - SMSF Accreditation - - AXA Excellence ~ 2008 - Graduate Diploma of Financial Planning - - Finsia/Kaplan ~ 2009 - Master of Applied Finance - - Kaplan |