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 | Advanced Diploma of Financial Services - Kaplan |
| Bianca Kendirian | 2018 | Bachelor of Commerce (Accounting and Commercial Law) - Australian Catholic University ~ Diploma of Financial Planning - Kaplan |
| Chamil Shirendra Peiris | 2018 | Bachelor of Commerce (Finance, Marketing, Management) - Deakin University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Services - Kaplan |
| Guruh Sridewa | 2009 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Administrative Studies - York University ~ Graduate Diploma of Financial Planning - Finsia ~ Self Managed Superannuation Funds - Kaplan ~ Tier 1 Margin Lending - Personal Advice - Kaplan |
| John Allen Appleby | 2018 | Accredited Aged Care Professional - Aged Care Steps ~ Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business (Accounting) - Victoria University ~ Diploma of Financial Planning - Kaplan |
| Josephine Theresa Locke | 2018 | Diploma of Financial Services (Financial Planning) - Mentor Education |
| Tafadzwa Freddy Musarurwa | 2018 | Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - Integrity Education |
| Tung Pham | 2016 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Commerce (Corporate Finance) - University of Adelaide ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |