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;
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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Amber Pezzimenti | 2004 | 2002 - Diploma of Financial Services - Diploma (AQF 5) - Integratec ~ 2003 - Advanced Diploma Financial Services - Advanced Diploma (AQF 6) - Integratec ~ 2019 - Graduate Diploma - Bridging Course - Ethics - Kaplan ~ 2023 - Graduate Diploma of Financial Planning (GDFP19) - Graduate Diploma (AQF 8) - Kaplan |
| Joel Gilbert Lithgow | 2012 | 2012 - Dip Financial Planning - Diploma (AQF 5) - Kaplan ~ 2017 - Adv Dip Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2019 - Graduate Diploma - Bridging Course - Ethics - Kaplan ~ 2023 - Graduate Diploma of Financial Planning (GDFP19) - Graduate Diploma (AQF 8) - Kaplan |
| Paul Sliskovic | 2018 | 1998 - Bachelor of Business - Bachelor Degree (AQF 7) - Monash University ~ 2002 - Practitioner Member (Stockbroking) - Professional Designations - Securities and Derivatives Industry Association ~ 2003 - Graduate Diploma of Finance and Investment - Diploma (AQF 5) - Securities Institute ~ 2013 - Diploma Financial Planning - Diploma (AQF 5) - Kaplan |