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;
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;
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 |
|---|---|---|
| Andrew Lawler | 2007 | 2007 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2009 - CFP - - FPA ~ 2010 - Advanced SMSF Strategy Training - - Kaplan |
| Anita Maree Rodd | 2004 | 2006 - Bachelor of Commerce - - Deakin ~ 2008 - CFP - - FPA |
| Ben Francis Hutt | 2023 | 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University |
| Christopher Dimattina | 2005 | 2007 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Advanced SMSF Strategy Training - - Kaplan |
| Jerome Peter Smith | 1996 | 2001 - Advanced Diploma Financial Services (Financial Planning) - - FPA ~ 2001 - CFP - - FPA ~ 2010 - Advanced SMSF Strategy Training - - Kaplan |
| Lachlan William Hine | 2024 | 2021 - Bachelor of Business - Bachelor Degree (AQF 7) - RMIT University |
| Leigh Marriott | 2008 | 2000 - Bachelor of Commerce - - Deakin ~ 2008 - Diploma of Financial Planning (Financial Services) - - Mentor Education ~ 2010 - Advanced SMSF Strategy Training - - Kaplan |
| Nathan Kane Wright | 2017 | 2008 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - Federation University of Australia ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan |
| Sarah Connolly | 2004 | 2003 - Masters of Financial Planning - - RMIT ~ 2009 - CFP - - FPA |
| Scott Plunkett | 2000 | 2015 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2015 - TASA and the TPB Code of Professional Conduct - - Kaplan Professional ~ 2016 - Cert IV in Finance and Mortgage Broking - - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |