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