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;
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;
interests in managed investment schemes limited to:
MDA 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:
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:
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;
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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Benjamin Mark Walvisch | 2008 | 2001 - Bachelor of Commerce - - Monash University ~ 2009 - Advanced Diploma of Financial Services - - Kaplan ~ 2018 - Certified Financial Planner - - Financial Planning Association ~ 2021 - Ethics and Professionalism in Financial Advice - Professional Designations - Kaplan ~ 2021 - Financial Adviser Industry - Professional Designations - FASEA |
| Kay Rose Aarons | 1988 | 1988 - Australian Certificate of Investment Planning - - Securities Institute ~ 1996 - Diploma of Financial Planning - - Securities Institute ~ 1998 - Certified Financial Planner - - Financial Planning Association ~ 2020 - Ethics and Professionalism in Financial Advice - Professional Designations - Kaplan ~ 2021 - Financial Adviser Exam - Professional Designations - FASEA |
| Paul Carey Bates Jones | 2001 | 1999 - Master of Business Administration - - Royal Melbourne Institute of Technology [RMIT] ~ 2004 - Certified Financial Planner - - Financial Planning Association ~ 2004 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2020 - Ethics and Professionalism in Financial Advice - Professional Designations - Kaplan ~ 2021 - Financial Adviser Industry - Professional Designations - FASEA |
| Peter Alan Kenyon | 1994 | 2005 - Diploma of Financial Planning [PS 146] - - Tribeca ~ 2020 - 10257793 - Professional Designations - Kaplan ~ 2021 - Financial Adviser Exam - Professional Designations - FASEA |