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;
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;
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 |
|---|---|---|
| Andrew Torney | 2005 | Bachelor of Business (Ecomomic and Finance) - RMIT University ~ Bachelor of Business (Economics and Finance) - RMIT University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ RG146 Licensing Compliance: Margin Lending Facilities - Kaplan Professional |
| Christopher Simm | 2014 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Courtney Robinson | 2013 | Bachelor of Management (Financial Planning) - Deakin University ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - KAPLAN Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| David Howie | 2011 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional Education ~ Bachelor of Arts - Victoria University of Technology ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Services - Kaplan ~ Ethics & Professionalism in Financial Advice - Kaplan Professional |
| Kate Officer | 2014 | Accredited Aged Care Specialist - Aged Care Steps ~ Bachelor of Commerce - Deakin University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Lesley Dana Duncan | 2002 | Associate Diploma of Business (Accounting) - Gordon Institute of TAFE ~ Bachelor of Commerce - Deakin University |
| Martin Allison | 2007 | Bachelor of Commerce (Accounting and Finance) - Monash University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - FINSIA ~ Margin Lending - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Matthew John Baum | 2007 | Advanced Diploma of Financial Services - Tribeca Leaning (Aust) Pty Ltd ~ Bachelor of Commerce - Curtin University ~ CFP - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Services (Financial Planning) - AMP/ NSW Vocational and Training Accreditation Board ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Matthew Torney | 2014 | Advanced Diploma of Financial Planning - MLC Advice Education ~ Bachelor of Commerce - The University of Melbourne ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - KAPLAN Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Max Grant | 2018 | Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Melinda Planken | 2008 | Accredited Aged Care Specialist - Aged Care Steps ~ Bachelor of Commerce - Deakin University ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ RG146 Licensing Compliance: Margin Lending Facilities - Financial Education Professionals Pty Ltd |
| Rianna Dell Jochum | 2018 | Bachelor Commerce (Accounting Financial Planning) - Deakin University ~ Bachelor of Commerce (Accounting & Financial Planning) - Griffith University |
| Samuel William Gall | 2023 | Master of Financial Planning - Deakin |
| Tamara Carman | 2010 | Bachelor of Commerce - Deakin University ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| William Raleigh | 2023 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Business (International Business) - University of Newcastle ~ Bachelor of Commerce (Finance) - University of Newcastle ~ Graduate Diploma of Financial Planning - Deakin University |
| Zachary Dodds | 2018 | Accredited Aged Care Specialist - Aged Care Steps ~ Bachelor of Commerce - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPA Aged Care Specialist - Financial Planning Association ~ Master of Financial Planning - Deakin University |