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;
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;
deal in a financial product by:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
own managed investment scheme only; and
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;
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;
operate the following kinds of registered managed investment schemes (including the holding of any incidental property) in its capacity as responsible entity:
schemes which only hold the following types of property:
financial assets; and
provide the following custodial or depository services:
operate custodial or depository services other than investor directed portfolio services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Newman | 2005 | 2010 - Advanced Diploma of Financial Services - - Kaplan |
| Bianca Kendirian - Ali | 2018 | 2012 - Bachelor of Commerce (Accounting and Commercial Law) - - Australian Catholic University ~ 2017 - Diploma of Financial Planning - - Kaplan |
| Chamil Shirendra Peiris | 2018 | 2009 - Bachelor of Commerce (Finance, Marketing, Management) - - Deakin University ~ 2012 - Diploma of Financial Services - - Kaplan ~ 2018 - Certified Financial Planner - - Financial Planning Association of Australia |
| Guruh Sridewa | 2009 | 1995 - Bachelor of Administrative Studies - - York University ~ 2008 - Graduate Diploma of Financial Planning - - Finsia ~ 2014 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - Tier 1 Margin Lending - Personal Advice - - Kaplan ~ 2015 - Accredited Aged Care Professional - - Aged Care Steps |
| John Allen Appleby | 2018 | 2014 - Bachelor of Business (Accounting) - - Victoria University ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2018 - Accredited Aged Care Professional - - Aged Care Steps ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan |
| Josephine Theresa Locke | 2018 | 2007 - Diploma of Financial Services (Financial Planning) - - Mentor Education |
| Tafadzwa Freddy Musarurwa | 2018 | 2009 - Bachelor of Commerce - - Griffith University ~ 2016 - Diploma of Financial Planning - - Integrity Education |
| Tung Pham | 2016 | 2009 - Bachelor of Commerce (Corporate Finance) - - University of Adelaide ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute |