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;
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:
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;
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 |
|---|---|---|
| Julius Ingo Garofali | 2000 | 2003 - Superannuation - Other - Deakin University ~ 2004 - Diploma of Financial Markets - Diploma (AQF 5) - Securities & Derivatives Institute Australia ~ 2005 - Margin Lending & Geared Investments - Other - Deakin University ~ 2007 - Accredited Derivatives Adviser Level 1 & 2 - Other - Deakin University |
| Kieran Craig Berry | 2011 | 2024 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Nicola Devereux Younger | 2018 | 2000 - Diploma of Financial Markets - - Securities Institute ~ 2014 - Professional Diploma in Stockbroking - - Stockbrokers Association of Australia ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Sean Dessaix | 2018 | 2000 - Bachelor of Arts - Bachelor Degree (AQF 7) - Macquarie University ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Commonwealth Bank ~ 2015 - Cert IV Risk & Compliance - Certificate (AQF 1-4) - GRCI |
| Stephen Paul Rogers | 2018 | 2018 - Diploma of Financial Planning - - Integrity Education Group ~ 2019 - Advanced Diploma of FP - Advanced Diploma (AQF 6) - Integrity Education Group |