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;
standard margin lending facility; 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;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anthony Alps | 1990 | 1995 - Bachelor of Commerce - - Curtin University ~ 2003 - Graduate Diploma of Applied Finance and Investment - - Securities Institute Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2011 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - Diploma of Financial Planning - - Mentor Education |
| Cindy Dahiya | 2004 | 2004 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| David Geoffrey Stone | 1997 | 1990 - Bachelor of Business - Bachelor Degree (AQF 7) - Edith Cowan University ~ 1998 - Master of Business - Masters Degree (AQF 9) - Edith Cowan University ~ 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan |
| Deshwant Dahiya | 2004 | 2000 - Master of Business in Finance - Masters Degree (AQF 9) - University of Technology, Sydney ~ 2004 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - FPA ~ 2004 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - FPA ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Krystle Anne Perrett | 2012 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education |
| Nancy Croll | 1995 | 1995 - Bachelor of Arts (Modern Asian Studies) - Bachelor Degree (AQF 7) - Griffith University ~ 2000 - Certified Financial Planner Status (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2000 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2005 - Graduate Diploma in Advanced Taxation - Graduate Diploma (AQF 8) - University of New South Wales |
| Stuart Roderick Varidel | 2002 | 2022 - Graduate Diploma of Financial Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2024 - Accredited Behavioral Finance Professional (ABFP) - Professional Designations - Kaplan Professional ~ 2024 - Chartered Retirement Planning Counselor (CRPC) - Professional Designations - Kaplan Professional ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Vanessa Jane Mendes | 2013 | 2012 - Bachelor Business (Financial Planning) - - RMIT ~ 2012 - Bachelor of Accounting - - University of South Australia ~ 2015 - Self Managed Superannuation Funds - - Kaplan |