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 | Diploma of Financial Planning - Financial Planning Association of Australia Limited |
| Ben Bowen | 1997 | Bachelor of Economics - Harvard University |
| Cameron Morcher | 2005 | Accredited Derivatives Adviser Level 1 - ASX ~ Bachelor of Commerce - Melbourne University ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Self Managed Super Funds - Kaplan ~ • Diploma of Financial Services (Financial Planning) - Kaplan |
| Christopher Unthank | 2001 | Advanced Diploma Unit 5 Taxation - Integratec ~ Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Services - Intro & Units 1 - Australian Financial Services ~ Diploma of Financial Services - Units 2 & 4 - Securities Institute of Australia ~ Diploma of Financial Services - Units 3 & Investment Planning 1 - Financial Planning Assoc of Australia |
| Frederick Johannes Strauss | 1980 | Bachelor of Commerce - The University of Free State, South Africa ~ Honours Bachelor of Accounting - University of South Africa ~ PS146 - Securities Institute of Australia |
| Madeleine Joan Marshall | 2018 | Diploma of Financial Planning - Monarch Institute ~ Provide advice in margin lending - Monarch Institute |
| Mark Eugene Trahair | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd |
| Michael Davie | 1999 | Accredited Estate Planning Strategist - FPA ~ Advanced Diploma Financial Services (Financial Planning) - Tribeca (Now Kaplan) ~ Certified Financial Planner - FPA ~ Life Risk Specialist - FPA ~ SMSF Specialist Advisor - SMSF Association |
| Noel Robert Marshall | 1980 | ADFS 1 Taxation Planning - Mentor Education Group ~ ADFS 2 Estate Planning - Kaplan ~ ADFS 3 Advanced Investment Planning - Mentor Education Group ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan |
| Paul Yeo | 2014 | Certified Financial Planner - Financial Planning Association of Australia ~ Master of Commerce - Deakin University ~ Self Managed Superannuation Funds - Kaplan Professional |
| Steven Rowley | 1974 | Diploma of Financial Planning - Pinnacle ~ PS146 - Pinnacle |
| Trent Ashley Bell | 2017 | Advanced Diploma of Financial Planning - KAPLAN ~ Bachelor of Business (Banking and Finance) - Monash University ~ DFP5v2 Tax for Financial Advising - Kaplan ~ Diploma of Financial Planning - Kaplan ~ SuperConcepts & ICFS Specialist SMSF course - SuperConcepts |
| Trevor William Norman Thompson | 1997 | Diploma of Financial Planning - Deakin University ~ Diploma of Financial Planning - Deakin University ~ Ethics & Professionalism in Financial Advice - Kaplan |
| York AU | 2008 | Bachelor of Commerce (Honours) - University of Melbourne ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |