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;
derivatives;
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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
derivatives;
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Christopher John Molloy | 2004 | 2000 - Bachelor of Business (Management) - Bachelor Degree (AQF 7) - Monash University ~ 2002 - Diploma of Financial Planning (DFP) - Diploma (AQF 5) - Financial Planning Association (FPA) ~ 2004 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2007 - Graduate Diploma of Applied Finance and Investments (GAppFin) - Graduate Diploma (AQF 8) - FINSIA ~ 2008 - Master of Applied Finance and Investment (MAppFin) - Masters Degree (AQF 9) - FINSIA |
| Dalton Scott Pollnitz | 2018 | 2015 - Certificate IV in Banking Services - Certificate (AQF 1-4) - RMIT ~ 2016 - Diploma of Financial Planning - Diploma (AQF 5) - RMIT ~ 2018 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT |
| David John Alcorn | 1984 | 1985 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Swinburne University ~ 1990 - Certified Practicing Accountant (CPA) - Professional Designations - CPA Australia (CPA) ~ 1999 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) |
| Emma Louise Stoffels | 2003 | 1993 - Bachelor of Business (Tourism) - Bachelor Degree (AQF 7) - Ballarat University College ~ 1998 - Diploma of Financial Planning (Dip FP) - Diploma (AQF 5) - FPA / Deakin University ~ 1999 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2004 - Certificate - SMSF - Certificate (AQF 1-4) - Tribeca |
| Ethan Owen Dennis Allen | 2012 | 2006 - Bachelor of Science in Nanoscience - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2009 - Master of Business in Finance (MBus Fin) - Masters Degree (AQF 9) - University of Technology Sydney ~ 2012 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2013 - Diploma in Stockbroking - Diploma (AQF 5) - Stockbrokers Association of Australia ~ 2018 - Advanced Diploma of Financial Planning (ADFP) - Advanced Diploma (AQF 6) - Kaplan |
| Kyle Lawrence Brumley | 2012 | 2011 - Bachelor of Commerce (Financial Planning, Finance & Accounting) - Bachelor Degree (AQF 7) - Deakin University ~ 2015 - Certified Practicing Accountant (CPA) - Professional Designations - CPA Australia (CPA) ~ 2016 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) |
| Laurel Joy Moulynox | 1999 | 1993 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - University of Melbourne ~ 1998 - Certified Practicing Accountant (CPA) - Professional Designations - CPA Australia (CPA) ~ 1998 - Financial Planning Specialist (FPS) - Other - CPA Australia (CPA) ~ 2000 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) |
| NE Guo | 0 | 2013 - Master of Professional Accounting (Business Management) - Masters Degree (AQF 9) - University of Tasmania ~ 2018 - Chartered Accountant - Professional Designations - Chartered Accountants Australia and New Zealand ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2022 - SMSF Specialist - Professional Designations - Chartered Accountant Australia and New Zealand |