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;
derivatives limited to:
old law securities options contracts and warrants;
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;
derivatives limited to:
old law securities options contracts and warrants;
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 |
|---|---|---|
| Adrian Rowley | 1998 | 2001 - Diploma of Financial Planning - - Financial Planning Association of Australia Limited |
| Ankush Gupta | 2025 | 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2025 - FPE020 SMSF Regulations and Taxation - Professional Designations - Kaplan Professional |
| Ben Bowen | 1997 | 1996 - Bachelor of Economics - - Harvard University |
| Cameron Morcher | 2005 | 1996 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Melbourne ~ 2007 - Chartered Financial Analyst (CFA) - Professional Designations - CFA Institute ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2012 - • Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2013 - Self Managed Super Funds - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice (FBC002B) - Bridging Course - Ethics - Kaplan Professional |
| Frederick Johannes Strauss | 1980 | 1982 - Bachelor of Commerce - - The University of Free State, South Africa ~ 1984 - Honours Bachelor of Accounting - - University of South Africa ~ 2004 - PS146 - - Securities Institute of Australia |
| Peter Phuoc Truong | 2018 | 2000 - Bachelor of Arts - - Deakin University ~ 2000 - Bachelor of Commerce - - Deakin University ~ 2005 - DFP1-4 - - Tribeca (Kaplan Professional) ~ 2016 - Master of Business Administration - - The University of Melbourne ~ 2017 - Diploma of Financial Planning - - International Institute of Technology ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Ltd |
| Steven Rowley | 1974 | 2014 - Diploma of Financial Planning - - Pinnacle ~ 2014 - PS146 - - Pinnacle |
| Trent Ashley Bell | 2017 | 2015 - Bachelor of Business (Banking and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2017 - Tax for Financial Advising (DFP5v2) - Diploma (AQF 5) - Kaplan Education ~ 2018 - Advanced Diploma of Financial Planning (ADFP) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2020 - Ethics and Professionalism in Financial Advice (FPC002B) - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2020 - SuperConcepts & ICFS Specialist SMSF Course - Other - University of Adelaide |