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 | Bachelor of Commerce - Curtin University ~ Diploma of Financial Planning - Mentor Education ~ Graduate Diploma of Applied Finance and Investment - Securities Institute Australia ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Cindy Dahiya | 2004 | FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Securities Institute ~ Self Managed Superannuation Funds - Kaplan Professional |
| David Geoffrey Stone | 1997 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Bachelor of Business - Edith Cowan University ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Master of Business - Edith Cowan University |
| Deshwant Dahiya | 2004 | Advanced Diploma of Financial Services (Financial Planning) - FPA ~ Diploma of Financial Services (Financial Planning) - FPA ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business in Finance - University of Technology, Sydney |
| Dominic John Murphy | 1997 | Bachelor of Business (Accounting) - Victoria University ~ Certified Financial Planner Program - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Krystle Anne Perrett | 2012 | Diploma of Financial Services (Financial Planning) - Kaplan Professional Education |
| Nancy Croll | 1995 | Bachelor of Arts (Modern Asian Studies) - Griffith University ~ Certified Financial Planner Status (CFP) - Financial Planning Association (FPA) ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ Graduate Diploma in Advanced Taxation - University of New South Wales |
| Stephen Skeen | 1993 | Entry Level Competencies - Integratec ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan ~ Investment Planning 1 - Integratec ~ Risk Management - Integratec ~ Superannuation & Retirement Planning - Integratec |
| Stuart Roderick Varidel | 2002 | Advanced Diploma of Financial Financial Planning - Mentor Education ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Graduate Diploma of Financial Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Vanessa Jane Mendes | 2013 | Bachelor Business (Financial Planning) - RMIT ~ Bachelor of Accounting - University of South Australia ~ Self Managed Superannuation Funds - Kaplan |