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;
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:
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;
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 |
|---|---|---|
| Anurag Srivastava | 2006 | 1997 - Bachelor of Commerce - - Deakin University ~ 2005 - Graduate Diploma in Accounting - - Deakin University ~ 2005 - Masters of Commerce - - Deakin University ~ 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy Pty Ltd |
| Christopher Wright | 2014 | 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2014 - Diploma of Financial Services (Financial Planning) - - Integrity Education ~ 2015 - Advanced Diploma Of Financial Planning - - Integrity Education ~ 2022 - Bachelor of Commerce Majoring in Financial Planning - Bachelor Degree (AQF 7) - Deakin University |
| David Alan Goodwin | 2002 | 2003 - Bachelor of Business (Financial Planning With Distinction) - - RMIT ~ 2005 - CFP Unit 1 Ethics, Professionalism and Compliance - - FPA ~ 2007 - CFP Unit 2 - Applied Strategies 1 - - FPA ~ 2010 - SMSF Specialist Adviser - - ASFA |
| Dhiraj Arora | 2009 | 1999 - Post Graduate Diploma in Business management (major in Finance) - - Sardar Patel College of Communication & Management ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2019 - Self Managed Superannuation Fund - - Mentor Education ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Diego Del Rosso | 2010 | 1995 - Bachelor of Business (Marketing) - - Monash University ~ 2011 - Certificate IV in Financial Services - - Australian Institute of Financial Services and Accounting ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education |
| Mario Boudewyn | 2008 | 2008 - DFS - - TAFE ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - SMSF accreditation - - Kaplan ~ 2013 - Self Managed Superannuation Funds - - Kaplan |
| Navjeet Singh | 1984 | 2008 - Diploma of Financial Planning - - TAFE ~ 2010 - Advance Diploma of Financial Planning - - TAFE ~ 2020 - Financial Advisers Exam - Other - FASEA |
| Rahul Charan | 2018 | 2004 - Bachelor of Business Administration - - Hemwati Nandan Bahuguna Garhwal University ~ 2018 - Diploma of Financial Planning - - Kaplan Professional |