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