This licence authorises the licensee to carry on a financial services business to:
provide financial product advice to retail and wholesale clients for the following classes of financial products:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 excluding investor directed portfolio services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
superannuation;
provide financial product advice to wholesale clients only for the following classes of financial products:
derivatives;
general insurance products;
Australian carbon credit units; and
eligible international emissions units;
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 to retail and wholesale clients:
superannuation; and
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 to retail and wholesale clients:
deposit and payment products limited to:
non-cash payment products; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products to wholesale clients only:
derivatives;
general insurance products;
interests in managed investment schemes excluding investor directed portfolio services;
securities;
Australian carbon credit units; and
eligible international emissions units; and
provide a superannuation trustee service to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Ann LE | 2014 | 2011 - Bachelor of Arts and Commerce - - Deakin University ~ 2014 - Diploma of Financial Services - - Kaplan Professional |
| Antoni Josef Stolarek | 2015 | 2010 - Diploma of Accounting - - Swinburne TAFE ~ 2012 - Bachelor of Business (Finance) - - Swinburne University of Technology ~ 2015 - Advanced Diploma of Financial Planning - - Monarch Institution |
| Arachchige Dinath Sanjeewa Dean Abey Abeysinghe | 2018 | 2010 - Bachelor of Commerce - - Deakin University ~ 2010 - RG146 Compliance - - AIST ~ 2014 - Certificate IV in Finance - Mortgage Broking - - AAMC Training Group |
| Ashleigh Teresa Cattanach | 2007 | 2005 - Diploma of Financial Planning - Diploma (AQF 5) - ThreeSixty ~ 2008 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2012 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan |
| Farai Arthur Mutsinze | 2018 | 2008 - Bachelor of Commerce - - Deakin University ~ 2012 - RG 146 - - AIST ~ 2018 - Diploma in Financial Planning - - Mentor Education |
| Jason Anthony Crichton | 2001 | 2002 - Diploma of Financial Planning - - Deakin University |
| Kabindra Shrestha | 1998 | 1997 - Bachelor of Business (Management) - Bachelor Degree (AQF 7) - Central Queensland University (CQU) ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) |
| Nathan Mark Pholi | 2012 | 2008 - Bachelor of Business (Management) - - University of the Sunshine Coast (USC) ~ 2009 - Master of Business Administration - - University of the Sunshine Coast (USC) ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Rodney Francis Fletcher | 1996 | 1993 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2000 - Diploma of Financial Planning - - Deakin University |
| Simon J Power | 2018 | 1988 - Bachelor of Science - - University of Melbourne ~ 2004 - Diploma of Financial Services - - Financial Planning Association ~ 2006 - Advance Diploma of Financial Services - - Kaplan ~ 2010 - Certified Financial Planner - - FPA/Deakin |