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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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; 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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Christina Jones | 2013 | 2010 - Bachelor of Laws - - Deakin University |
| Edward Agius | 2011 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nimali Hiranthi Barfoot | 2004 | 2007 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Finsia ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Client Engagement Skills - Professional Designations - Kaplan ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Steven Melling | 2003 | 2000 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute of Australia - FINSIA ~ 2002 - Master of Applied Finance - Masters Degree (AQF 9) - Macquarie University ~ 2004 - CFA Charterholder - Professional Designations - CFA Institute ~ 2017 - Master of Banking and Finance Law - Masters Degree (AQF 9) - Melbourne University ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |