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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Daniel John Bremner | 2009 | 2004 - Bachelor of Business & Commerce - - Monash University Gippsland ~ 2006 - Diploma of Financial Planning - - Kaplan ~ 2008 - Advance Diploma of Financial Planning - - Kaplan ~ 2020 - FASEA Exam - Other - FASEA |
| Joanne Lillian Bombardier | 2024 | 2017 - Bachelor of Accounting - Bachelor Degree (AQF 7) - Latrobe University ~ 2023 - Ethics and professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Joseph Michael Auciello | 2018 | 2013 - Associate Degree in Business & Commerce - - Monash University ~ 2013 - Bachelor of Business and Commerce Specialising in Accounting - - Monash University ~ 2014 - Foundations of Financial Planning Part A - - KAPLAN ~ 2018 - Accountants Financial Planning - - KAPLAN ~ 2018 - Accountants SMSF Package - - KAPLAN |
| Lee Johnson | 2004 | 2002 - Bachelor of Business - - Monash University ~ 2002 - Bachelor of Computing - - Monash University ~ 2011 - Margin Lending and Geared Investment - - Kaplan ~ 2011 - RG 146 - - Open Universities Australia ~ 2020 - FASEA Exam - Other - Kaplan |
| Mark Edward Reidy | 2001 | 1994 - Bachelor of Business - - Monash University Gippsland ~ 1999 - Certified Practising Accountant - - CPA ~ 2005 - SMSF Specialist Advisor - - SMSF Association ~ 2007 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2020 - FASEA Exam - Other - Kaplan |
| Prudence Jayne Cox | 2016 | 2001 - Bachelor of Commerce - - Victoria Institute ~ 2009 - Gaduate Diploma of Chartered Accounting - - Institute of Chartered Accountants ~ 2016 - Diploma of Financial Planning - - Kaplan |
| Thomas Williamson | 2011 | 2008 - Bachelor of Commerce (Accounting and Financial Planning) - - Deakin University ~ 2009 - Bachelor of Commerce (Accounting and Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2014 - Certified Practising Accountant - Professional Designations - CPA Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |