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; 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:
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;
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;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anthony George Dalakouras | 2024 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Benjamin John Stokes | 2011 | 1998 - Bachelor of Commerce - - The University Of Melbourne ~ 2008 - Certificate of Public Practice - - The Institute of Chartered Accountants ~ 2011 - Diploma of Financial Services (Financial Planning) - - The Investment Banking Institute ~ 2011 - SMSF Specialist Advisor - - Self Managed Super Fund Association ~ 2012 - Chartered Tax Adviser CTA - - The Tax Institute |
| Catherine Elizabeth Jenkins | 2015 | 1999 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2001 - Certified Practising Accountant (CPA) - Professional Designations - CPA Australia ~ 2020 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional |
| Daniel Mcintosh | 2014 | 2002 - Advanced Diploma of Accounting - - TAFE NSW ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan ~ 2015 - Acreditated Listed Product Adviser program - - Kaplan ~ 2015 - Bachelor of Business Studies - - Charles Sturt University ~ 2018 - Certificate IV in Finance and Mortgage Banking - Certificate (AQF 1-4) - Kaplan Professional |
| David Anthony Bertelli | 2013 | 2014 - 924 Superannuation - - KAPLAN |
| James Edward Dudley | 1992 | 1997 - Diploma of Financial Planning - - RMIT University |
| Michael Ibbotson | 2004 | 2002 - Bachelor of Business Financial Planning - - RMIT ~ 2004 - ASX Listed Securities Adviser - - ASX ~ 2006 - Certificate VI in Finance Broking - - Kaplan ~ 2011 - Certficate Vi in Property Services - - Kaplan |
| Peter Robert Budge | 1995 | 1995 - CFP - - FPA ~ 2014 - Certified Financial Transitionist - - Sudden Money Institute |