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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Anthony Densley | 1996 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2005 - SMSF Specialist Advisor Accreditation Program - Certificate (AQF 1-4) - SMSF Association |
| Benjamin Hopkins | 2001 | 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Marcus Warren | 2018 | 2018 - RG146 - - Monarch Institute |
| Mostafa Ezame | 2018 | 2018 - Commercial Law - Other - Kaplan Professional ~ 2018 - DFP5V3 Tax for Financial Advising - - Kaplan Professional ~ 2018 - Diploma of Financial Planning - - Mentor Education ~ 2018 - Life Insurance Adviser (Personal Advice) - - Mentor Education |
| Peter Smirnov | 2010 | 2007 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy |