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 | Bachelor of Science - Monash University ~ Certificate IV Finance and Mortgage Broking - Kaplan Education Pty Ltd ~ Graduate Diploma of Financial Planning - Securities Institute Education ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd |
| Brenton Michael Rus | 2017 | Bachelor of Commerce - Swinwburne ~ Diploma of Financial Planning - Kaplan Education ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| David Blackborrow | 2015 | Advanced Diploma in Financial Planning - Kaplan Professional ~ Bachelor Business Management - University of Ballarat ~ SMSF Specialist - SMSF Association |
| Matthew Kane Farrugia | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce/Finance - La Trobe University ~ Certified Financial Planner - FPA ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Patrick Hardwick | 2003 | Bachelor of Business(Financial Planning) - RMIT ~ Certificate IV Finance and Mortgage Broking - Kaplan Education Pty Ltd ~ Diploma of Financial Planning, Certified Financial Planner - FPA ~ Margin Lending and Geared Investments - Kaplan Education Pty Ltd |
| Thomas Curran | 0 | Bachelor of Commerce - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan Professional |