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;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products limited to:
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;
debentures, stocks or bonds issued or proposed to be issued by a government;
life products limited to:
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 |
|---|---|---|
| Daniel Tuan YU Tiet | 2014 | 2011 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - RMIT University ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Association of Superannuation Funds of Australia Ltd (ASFA) ~ 2018 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia (FPA) ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2019 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional |
| David Stephen Dodgshun | 2018 | 2010 - Bachelor of Business (Information Systems) - - Swinburne University ~ 2010 - Bachelor of Business - - Swinburne University ~ 2012 - Graduate Diploma of Chartered Accounting (GradDipCA) - - The Institute of Chartered Accountants in Australia ~ 2018 - Accountants Self Managed Superannuation Funds Package - - Kaplan ~ 2018 - Diploma of Financial Planning - - Kaplan |
| Kerry Mcdonald | 1996 | 1981 - Bachelor of Business (Accounting) - - Swinburne ~ 1990 - Financial Planning Certificate - - CPA ~ 1999 - Certified Financial Planner - - Financial Planning Association ~ 2004 - Self Managed Superannuation Fund accreditation - - Tribeca |
| Melissa Robertson | 2017 | 1995 - Bachelor of Business (Accounting) - - La Trobe University, Bendigo ~ 2014 - SMSF Specialist Advisor - - SMSF Association ~ 2019 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Tier 1 Margin Lending- Personal Advice - - Kaplan Professional |
| Varun Tushar Sarup | 2013 | 2009 - Bachelor of Commerce (Applied Economics & Finance) - - University of Ballarat ~ 2013 - Diploma Margin Lending - - Pinnacle Financial Services ~ 2013 - Diploma of Financial Planning - - Mentor Education ~ 2017 - TASA and the TPB Code of Professional Conduct - - Kaplan |