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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services; 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;
superannuation; and
financial products limited to:
miscellaneous financial investment products limited to MDA services;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Andrew Jonathan Smith | 2018 | Diploma of Financial Planning - Kaplan Australia ~ Ethics for Financial Services (MAA769) - Deakin University ~ Financial Advice Regulation - Deakin University |
| Ashish Aryal | 2017 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Commerce (Accounting) - Deakin University ~ Diploma of Financial Planning FNS50611 - Investment Banking Institute ~ Ethics for Financial Services - Deakin University |
| Brent Donald Howells | 2013 | Advanced Diploma of Financial Planning FNS60404 - MLC ThreeSixty ~ Bachelor of Commerce - University of Tasmania ~ Chartered Accountant (CA) - CAANZ ~ Diploma Financial Services (Financial Planning) FNS50611 - MLC ThreeSixty ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Chris Jon Odgers | 2018 | Diploma of Financial Planning - Financial Planning Association of Australia |
| Craig Travis Uys | 2012 | Bachelor of Commerce (Finance & Economics) - University of Southern Queensland ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional |
| Daniel Huynh Nguyen | 2017 | Advanced Diploma of Financial Planning - Monarch Institute |
| Dean Edward Tagliaferro | 2013 | Bachelor Business - Swinburne University Of Technology ~ DFP 3 - Investment Planning 1 (FNS50610) - GWM Adviser Services ~ Diploma of Financial Planning (FNS50611) - Tribeca/Kaplan ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Dion Spencer | 2016 | Bachelor of Intrernational Business - Macquarie University ~ Diploma Financial Planning FNS50615 - Kaplan Australia ~ Securities & Managed Investments - Kaplan Australia |
| Georgina Gowan | 2017 | Advanced Diploma Financial Planning FNS60415 - Kaplan Professional ~ Bachelor Commerce (Accounting) - La Trobe University ~ Diploma Financial Planning FNS50611 - Kaplan Professional |
| James O'brien | 2017 | Advanced Diploma Financial Planning FNS60415 - Kaplan Australia ~ Diploma Financial Planning FNS50611 - Kaplan Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Plannng - Kaplan |
| Justin John Klimas | 2018 | Bachelor of Business - RMIT University ~ Diploma of Financial Planning - Monarch Institute |
| Kim Chi Nguyen | 2010 | Bachelor Degree - Business - La Trobe University ~ Bachelor of Financial Planning - La Trobe University ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma - Financial Planning - International Institute of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Marcus Stuart Thompson | 2018 | Diploma of Financial Services - Association of Super Funds of Australia (ASFA) |
| Matthew Husband | 2011 | Advanced Diploma of Financial Planning FNS60404 - MLC ThreeSixty ~ Bachelor of Commerce - University of Tasmania ~ Diploma of Financial Planning FNS50804 - MLC ThreeSixty ~ RG146 Margin Lending - MLC ThreeSixty |
| Mst Ferdausi Aktar | 2018 | Bachelor of Business (Financial Planning) - RMIT University ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Shaun Robards | 2018 | Bachelor of Commerce (Finance) - University of Newcastle ~ Diploma of Financial Planning FNS50611 - AAMC Training Group ~ RG146 Managed Investments - AAMC Training Group ~ RG146 Securities Derravatives - AAMC Training Group ~ RG146 Superannuation - AAMC Training Group |
| Thomas James Snell | 2016 | Bachelor Business (Accounting Business Finance) - Monash University ~ Diploma Financial Planning FNS50615 - Mentor Education Group |