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 | Advance Diploma of Financial Planning - Kaplan ~ Bachelor of Business & Commerce - Monash University Gippsland ~ Diploma of Financial Planning - Kaplan ~ FASEA Exam - FASEA |
| Joanne Lillian Bombardier | 0 | Bachelor of Accounting - Latrobe University ~ Ethics and professionalism in Financial Advice - Kaplan |
| Joseph Michael Auciello | 2018 | Accountants Financial Planning - KAPLAN ~ Accountants SMSF Package - KAPLAN ~ Associate Degree in Business & Commerce - Monash University ~ Bachelor of Business and Commerce Specialising in Accounting - Monash University ~ Foundations of Financial Planning Part A - KAPLAN |
| Lee Johnson | 2004 | Bachelor of Business - Monash University ~ Bachelor of Computing - Monash University ~ FASEA Exam - Kaplan ~ Margin Lending and Geared Investment - Kaplan ~ RG 146 - Open Universities Australia |
| Mark Edward Reidy | 2001 | Bachelor of Business - Monash University Gippsland ~ Certified Financial Planner - Financial Planning Association of Australia ~ Certified Practising Accountant - CPA ~ FASEA Exam - Kaplan ~ SMSF Specialist Advisor - SMSF Association |
| Prudence Jayne Cox | 2016 | Bachelor of Commerce - Victoria Institute ~ Diploma of Financial Planning - Kaplan ~ Gaduate Diploma of Chartered Accounting - Institute of Chartered Accountants |
| Thomas Williamson | 2011 | Bachelor of Commerce (Accounting and Financial Planning) - Deakin University ~ Bachelor of Commerce (Accounting and Financial Planning) - Deakin University ~ Certified Practising Accountant - CPA Australia ~ Ethics and Professionalism in Financial Advice - Kaplan |