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); 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); and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Azaria Bell | 2022 | Bachelor of Commerce - Griffith University ~ Ethic and professionalism in Financial Adivce - Kaplan |
| Edmond Gabriel Scalpelli | 2001 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Bachelor of Commerce (Accounting) - La Trobe University ~ Diploma of Financial Services (Financial Planning) - Integratec |
| Kathleen Marie Therese Dean | 2017 | Bachelor of Commerce (Finance) - Monash University ~ CFP Certification Program (CFP 1-4) - Financial Planning Association of Australia |
| Mark Thomas Oliver | 2001 | Accredited Listed Product Adviser Program - Kaplan ~ CFP 1,2,3 - FPA ~ CFP 8 - FPA ~ Diploma of Financial Advising - Securities Institute ~ Diploma of Financial Services (Financial Planning) - Kaplan |
| Matthew Harold Warren | 2023 | Bachelor of Commerce - Griffith university ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Phillip Thompson | 2011 | Advanced Diploma of Financial Services - Kaplan ~ Certificate IV in Finance and Mortgage Broking - Kaplan ~ Diploma of Financial Services - Kaplan ~ Graduate Diploma - Kaplan Professional |
| Trent John Bacon | 2017 | Accredited Listed Product Adviser Program - Kaplan ~ Bachelor of Commerce (Financial Planning) - Deakin University ~ Self Managed Superannuation Funds - Kaplan |