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 |
|---|---|---|
| Alexander Patrick Hont | 2011 | 2009 - Bachelor of Business (Financial Planning) - - La Trobe University ~ 2012 - Life Risk Specialist - - Financial Planning Association ~ 2014 - Certified Financial Planner - - Financial Planning Association |
| Grant Donald Howe | 2001 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2010 - Self Managed Superannuation Fund - Other - Kaplan ~ 2017 - Securities - Other - Kaplan ~ 2021 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| John Phillip Kirk | 2011 | 2010 - Bachelor of Business ( Financial Planning) - - RMIT ~ 2013 - Diploma of Finance and Mortgage broking management - - Kaplan ~ 2015 - Certified Financial Planner - - FPA |
| Kelli Hooper | 2006 | 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2022 - FPE016 - Self Managed Superannuation Funds - Other - Kaplan |
| Marcus Andrew Nicholson | 2018 | 2009 - Diploma of Financial Services - - Kaplan ~ 2018 - Graduate Diploma of Financial Planning - - Kaplan International ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Matthew Edward Kaye | 2013 | 2013 - Diploma of Financial Planning (FNS50611) - Diploma (AQF 5) - Intellitrain ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Paul Anthony Moran | 1995 | 1995 - Masters of Business Administration - - Deakin University ~ 1999 - Certified Financial Planner - - Financial Planning Association ~ 1999 - Diploma of Financial Planning - - Deakin University ~ 2011 - Masters of Taxation and Financial Planning - - UNSW ~ 2022 - Doctor of Business Administration - Finance - Doctoral Degree (AQF 10) - Victoria University |