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;
derivatives;
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;
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; and
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:
financial products limited to:
miscellaneous financial investment products limited to MDA services; 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;
deposit products other than basic deposit products;
derivatives;
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;
securities;
standard margin lending facility;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Amanda Garmston | 2023 | 2013 - Bachelor of Science in Economics with Economics History - Bachelor Degree (AQF 7) - London School of Economics and Political Science ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Cassandra Anne Macolino | 2008 | 2004 - Bachelor of Arts - International Studies - Bachelor Degree (AQF 7) - University of South Australia ~ 2004 - Bachelor of Management Marketing - Bachelor Degree (AQF 7) - University of South Australia ~ 2012 - Master of Taxation and Financial Planning - Masters Degree (AQF 9) - The University of New South Wales ~ 2015 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional |
| David Salvador Leon | 2006 | 2007 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2009 - Accredited Derivatives Adviser Level 2 - Other - Kaplan Professional ~ 2009 - Graduate Certificate in Applied Finance - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2011 - ACPM Certified Portfolio Manager - Other - Columbia University ~ 2011 - Margin Lending Accreditation Program - Other - Stockbrokers Association of Australia |
| Ivan Rados | 1996 | 1998 - Bachelor of Business - Economics and Finance - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology ~ 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia |
| Matthew Joseph Sala | 2018 | 2018 - Diploma of Financial Planning - - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - KAPLAN |
| Matthew Robertson | 2018 | 2011 - Bachelor of Commerce - Major in Finance - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2016 - Graduate Certificate in Business - Graduate Certificate (AQF 8) - Monash University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Thomas William Hicks | 2006 | 2002 - Bachelor of Business - Administrative Management - Bachelor Degree (AQF 7) - University of South Australia ~ 2008 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2010 - Margin Lending Accreditation Program - - Stockbrokers Association of Australia ~ 2011 - Professional Diploma in Stockbroking - Diploma (AQF 5) - Stockbrokers Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |