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 |
|---|---|---|
| Adrian Zoppa | 2002 | Bachelor of Commerce (Accounting) - University of Adelaide ~ Bachelor of Commerce (Honours) (First Class) - Flinders University ~ Bachelor of Finance - University of Adelaide ~ CFP Certification Program - Financial Planning Association of Australia ~ Graduate Diploma in Financial Planning - Securities Institute of Australia |
| Cooper William Mcrae | 2022 | Business (Economics, Finance & Trade) - Uni SA ~ Business (Financial Planning) - Uni SA ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Craig Geoffrey Scroop | 2014 | Bachelor of Commerce - Flinders University ~ CFP Certification Program - Financial Planning Association of Australia ~ Graduate Diploma of Applied Finance - Kaplan Professional Education |
| Daman Jeffrey Arthur | 2011 | Bachelor of Commerce - University of Adelaide ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma Global Wealth Management - University of Adelaide |
| Darren Paul Searle | 2009 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce (Accounting) - University of South Australia ~ CPA Program - CPA Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Edmund Chen | 0 | Bachelor of Finance - The University of Adelaide ~ Graduate Certificate in Financial Planning - FINSIA ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Emma Burckhardt | 0 | Economic and Legal Context for Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Applied Finance Majoring in Financial Planning - Kaplan Professional ~ Taxation for Financial Planning - Kaplan Professional |
| Geoff Choy | 2008 | Bachelor of Finance - University of Adelaide ~ Bachelor of Mathematics (Computer Science) - University of Adelaide ~ CFA Program - Chartered Financial Analyst Institute ~ CFP Certification Program - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Financial Services Institute of Australia |
| Jackson Thomas Harvey | 2022 | Advanced Diploma of Financial Planning - Kaplan Professional ~ BUSS 5447 UO Ethics and Professionalism - University of South Australia ~ Bachelor of Business (Finance) - University of South Australia ~ Diploma of Financial Planning - Kaplan Professional |
| Jan-carel Mentz Botha | 2007 | Bachelor of Commerce with specialisation in Economics - University of South Africa ~ Chartered Financial Analyst Level 1 - Chartered Financial Analyst Institute ~ Compliance Officer Examination - Johannesburg Stock Exchange ~ Graduate Diploma in Financial Planning - Kaplan Professional ~ Post Graduate Diploma in Financial Planning - University of the Free State ZAR |
| Mark Andrew Mullins | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business Administration - Wichita State University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Maurizio Francesco Arturo Nistico | 1985 | CFP Certification Program - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association (FPA) ~ Grad Cert in Financial Planning - Griffith University ~ Master of Financial Planning - Griffith University ~ SMSF Specialist Advisor - Self Managed Super Fund Association |
| Susan LY | 2007 | Bachelor of Economics - University of Adelaide ~ Bachelor of Finance - University of Adelaide ~ CFP Certification Program - Financial Planning Association of Australia ~ Certificate 4 in Financial Services - Association of Superannuation Funds of Australia ~ Graduate Certificate of Financial Planning - Financial Services Institute of Australia |