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 including:
basic deposit products;
deposit products other than basic deposit products; and
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;
standard margin lending facility; and
superannuation; and
deal in a financial product by:
arranging for another person to issue, apply for, acquire, vary or dispose 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 including:
basic deposit products;
deposit products other than basic deposit products; and
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;
standard margin lending facility; and
superannuation;
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 |
|---|---|---|
| Alan James Krakouer | 2003 | 1993 - Bachelor of Science - - Monash University ~ 2003 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2014 - Certificate IV Finance and Mortgage Broking - - Kaplan Education Pty Ltd |
| Brenton Michael Rus | 2017 | 2014 - Bachelor of Commerce - - Swinwburne ~ 2017 - Diploma of Financial Planning - - Kaplan Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| David Blackborrow | 2015 | 2000 - Bachelor Business Management - - University of Ballarat ~ 2014 - SMSF Specialist - - SMSF Association ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Patrick Hardwick | 2003 | 2003 - Bachelor of Business(Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2005 - Diploma of Financial Planning, Certified Financial Planner - - FPA ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Ltd ~ 2014 - Certificate IV Finance and Mortgage Broking - - Kaplan Education Pty Ltd |
| Thomas Curran | 2024 | 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |