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 | 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2021 - Ethic and professionalism in Financial Adivce - Bridging Course - Ethics - Kaplan |
| Edmond Gabriel Scalpelli | 2001 | 1995 - Bachelor of Commerce (Accounting) - - La Trobe University ~ 2003 - Diploma of Financial Services (Financial Planning) - - Integratec ~ 2004 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca |
| Kathleen Marie Therese Dean | 2017 | 2012 - Bachelor of Commerce (Finance) - - Monash University ~ 2015 - CFP Certification Program (CFP 1-4) - - Financial Planning Association of Australia |
| Matthew Harold Warren | 2023 | 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith university ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Phillip Thompson | 2011 | 2012 - Certificate IV in Finance and Mortgage Broking - - Kaplan ~ 2012 - Diploma of Financial Services - - Kaplan ~ 2014 - Advanced Diploma of Financial Services - - Kaplan ~ 2023 - Graduate Diploma - Graduate Diploma (AQF 8) - Kaplan Professional |
| Trent John Bacon | 2017 | 2016 - Bachelor of Commerce (Financial Planning) - - Deakin University ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan ~ 2019 - Accredited Listed Product Adviser Program - Other - Kaplan |