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 |
|---|---|---|
| Anne-marie Seagrim | 1980 | 2003 - Diploma of Financial Planning - - Deakin University |
| Brett Catterall | 2014 | 2009 - Diploma of Financial Planning - - Pinnacle ~ 2020 - Self Managed Superannuation Fund Adviser (Persoanl Advice) - Diploma (AQF 5) - Mentor Education |
| Christopher Noel Collins | 2016 | 2008 - Bachelor of Commerce (Economics and Finance) - - Curtin University ~ 2010 - Master of Accounting - - Curtin University ~ 2017 - DFP5v2 Tax for Financial Advising - - KAPLAN ~ 2017 - Diploma of Financial Planning - - Mentor Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - KAPLAN |
| David Bomford | 2018 | 2018 - Diploma of Financial Planning - - IIT ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - IIT ~ 2022 - Graduate Certificate-Self Managed Super Funds - Graduate Certificate (AQF 8) - Kaplan |
| David Michael Willis | 2006 | 2006 - Diploma - Financial Planning - - Kaplan Professional ~ 2009 - Advanced Diploma - Financial Planning - - Kaplan Professional ~ 2019 - Master of Financial Planning - - Kaplan Professional |
| Glenn Andrew Taylor | 2004 | 2005 - Diploma of Financial Planning - - Tribeca ~ 2014 - Margin Lending - - Mentor ~ 2014 - Self Managed Superannuation Fund - - Mentor ~ 2018 - Advanced Investment Planning - - Mentor Education |
| Greg Maguire | 2004 | 2003 - Diploma of Financial Services (Financial Planning) - - Integratec ~ 2016 - Advanced Diploma of Financial Planning - - Monarch Institute |
| Jason Dominic Dawson | 1995 | 2005 - SMSF - - Tribeca ~ 2011 - margin Lending and Geared investments - - Kaplan ~ 2017 - Advance Diploma Of Financial Planning - - Mentor ~ 2017 - Advanced Dinancial Planning - - Mentor ~ 2017 - Taxation - - Mentor |
| Jaxon Avery | 2018 | 2017 - Diploma of Financial Planning - - International Institute of Technology |
| Jonathan James Thomas | 2011 | 2007 - Diploma of Financial Services (financial Planning) - - Tribeca ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2014 - Master of Business Administration (Exec) - - Royal melbourne Institute of Technology |
| Jonathon Fulton | 2008 | 2008 - Diploma of Financial Services - - Traineeship Management Australia Pty Ltd |
| Jose Antonio Zurro | 2003 | 2002 - Diploma of Financial Planning - - Integratec ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institution |
| Julie Anna Jenkins-chapman | 2022 | 2021 - Financial Planning - Graduate Diploma (AQF 8) - Charles Sturt University |
| Julie Williams | 2004 | 1992 - Bachelor of Business - - Edith Cowan University ~ 2004 - Diploma Financial Services - - Kaplan ~ 2010 - Advanced Diploma Financial Services - - Kaplan ~ 2011 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - CERT 4 Finance and Mortgage Broking - - Kaplan |
| Kristen Marie Scharenberg | 2000 | 2001 - Bachelor of Business (Management Information Systems) - - University of South Australia ~ 2010 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Malcolm Heffernan | 2000 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2022 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology |
| Michael Michalczyk | 2013 | 2010 - Bachelor of Commerce - Banking and Finance - Bachelor Degree (AQF 7) - Murdoch University ~ 2013 - Diploma of Financial Planning - - Pinnacle Financial Services Academy ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Certified Financial Strategist - - Association of Independently Owned Financial Professionals |
| Omar Eduardo Cubilla | 2014 | 2013 - Diploma of Finance Services - - IIT ~ 2013 - Diploma of Financial Services - - IIT ~ 2014 - Advanced Diploma of Financial Services - - IIT ~ 2014 - SMSF Specialist - - IIT |
| Owen Cook | 2004 | 2004 - Diploma Financial Services - - Kaplan ~ 2010 - Advanced Diploma Financial Services - - Kaplan ~ 2011 - Margin Lending & Geared Investments - - Kaplan ~ 2015 - CERT IV Finance and Mortgage Broking - - Kaplan |
| Paul Stafford Ellenberg | 2004 | 2004 - Diploma of Financial Planning - - FPA in co-operation with Deakin University ~ 2011 - Self Managed Superannuation Funds - - Kaplan ~ 2013 - SMSF Specialist Advisor - - SMSF Professionals' Association of Australia ~ 2015 - Certified Financial Strategist - - Certified Financial Strategist ~ 2017 - Accredited Listed Product Adviser Program - - Kaplan Professional |
| Phillip David Oxenbridge | 2001 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - - Kaplan Education Pty Limited ~ 2012 - Master of Commerce Applied Finance - - Griffith University ~ 2014 - Cavendish & ICFS Specialist SMSF Course - - The University of Adelaide ~ 2021 - Financial Advisor Exam - Other - FAESA |
| Sean Richard Kertcher | 2016 | 1997 - Bachelor of Law - - Bond University ~ 2016 - Diploma of Financial Planning - - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional |
| Susan Howard | 2006 | 2007 - Diploma of Financial Planning - - ThreeSixty ~ 2007 - Diploma of Financial Planning - Diploma (AQF 5) - ThreeSixty ~ 2008 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - ThreeSixty ~ 2013 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Troy Dyer | 2015 | 2014 - Diploma of Financial Planning - - Monarch Institute ~ 2014 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2015 - TASA & The TPB Code of Professional Conduct - - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - - Monarch Institue |
| Zaide Thompson | 2017 | 2017 - Diploma of Financial Planning - - Monarch Institute |