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;
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:
derivatives; and
interests in managed investment schemes including:
investor directed portfolio service known as "The Investor Portfolio Service"; 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;
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 |
|---|---|---|
| Brent Charles Quinn | 2010 | 2000 - Bachelor of Business Marketing Major - - Swinburne University ~ 2010 - Diploma of Financial Planning - - Mentor Education Group ~ 2015 - Self Managed Super Fund - - Kaplan ~ 2024 - Taxation for Financial Planning - Other - Kaplan |
| Dylan Ivan Mayes | 2023 | 2015 - Bachelor of Accounting (Accounting, Financial Planning) - Bachelor Degree (AQF 7) - La Trobe University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Dylan James Cresswell | 2006 | 2006 - Bachelor of Business (Accounting) - - Victoria University ~ 2007 - Diploma of Financial Services - - Tribeca ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Self Managed Super Funds - - Kaplan ~ 2016 - Certified Financial Planner - Professional Designations - FPA |
| Gina Mcintosh | 2004 | 2003 - Diploma of Financial Planning - - Deakin University ~ 2005 - Applied Self Managed Super Fund Advice - Certificate (AQF 1-4) - Australian Executor Trustees ~ 2011 - Margin Lending Accreditation Program - Other - DeakinPrime / Stockbrokers Association of Australia ~ 2014 - Aged Care Steps Pty Ltd Advice Accreditation Training Program - Other - Aged Care Steps ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jackson Lombardi | 2024 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Jarrod Kevin Rodda | 2018 | 2014 - Bachelor of Commerce - - Deakin University ~ 2016 - Certificate in Self Managed Super Funds - Other - Kaplan Professional ~ 2017 - Diploma of Financial Planning - - International Institute of Technology ~ 2022 - CFP - Other - Financial Planning Association ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional ~ 2023 - Tax for Financial Advising - Other - Kaplan |
| Livio Caiolfa | 2001 | 2000 - Bachelor of Business - Accounting and Banking & Finance - - Monash University ~ 2001 - Level 1 & 2 Accredited Derivatives Adviser - - ASX ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Mentor Education Group ~ 2011 - Margin Lending - - Kaplan ~ 2015 - Self Managed Super Funds - - Kaplan |
| Marcus John Ainger | 2008 | 2004 - Bacherlors of Business B&F - - Monash ~ 2008 - Graduate Diploma in Financial Planning - - Finsia ~ 2010 - Margin Lending - - Kaplan ~ 2010 - Self Managed Super Fund - - Financial Essentials ~ 2013 - Certified Financial Planner - - FPA |
| Mark Johnson | 1996 | 2002 - Diploma of Financial Planning - - Finsia ~ 2010 - Margin Lending - - Kaplan ~ 2015 - Self Managed Super Fund - - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Michelle Elaine Bromley | 2000 | 1995 - Bachelor Of Business - - RMIT University ~ 2003 - Diploma in Financial Planning - - FPA Australia ~ 2007 - CFP - - Financial Planning Association |
| Nicole Ann Lewis | 2016 | 2014 - Bachelor of Commerce - - Deakin ~ 2015 - Diploma of Financial Planning - - Integrity Education Group |
| Reid Matthew Menkens | 2004 | 2001 - Diploma of Financial Planning - Diploma (AQF 5) - FPA ~ 2007 - Master Of Financial Planning - - University of Sunshine Coast |