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 |
|---|---|---|
| Ashish Aryal | 2017 | 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2014 - Diploma of Financial Planning FNS50611 - Diploma (AQF 5) - Investment Banking Institute ~ 2016 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - Deakin University ~ 2020 - Ethics for Financial Services - Bridging Course - Ethics - Deakin University |
| Craig Travis Uys | 2012 | 2010 - Bachelor of Commerce (Finance & Economics) - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - International Institute of Technology Pty Ltd (IIT) ~ 2022 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2022 - Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| David Hollingsworth | 2013 | 2011 - Bachelor of Arts (Psychology) - Bachelor Degree (AQF 7) - Monash University ~ 2013 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Monash University ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology Pty Ltd (IIT) ~ 2015 - Diploma of Finance and Mortgage Broking Management - - AAMC Training Group |
| Dean Edward Tagliaferro | 2013 | 2010 - Bachelor Business - Bachelor Degree (AQF 7) - Swinburne University Of Technology ~ 2013 - DFP 3 - Investment Planning 1 (FNS50610) - Diploma (AQF 5) - GWM Adviser Services ~ 2013 - Diploma of Financial Planning (FNS50611) - Diploma (AQF 5) - Tribeca/Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Other - Kaplan Professional |
| Georgina Gowan | 2017 | 1998 - Bachelor Commerce (Accounting) - Bachelor Degree (AQF 7) - La Trobe University ~ 2017 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Advanced Diploma Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Kaplan Professiona ~ 2024 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| James O'brien | 2017 | 2014 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Australia ~ 2018 - Advanced Diploma Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Plannng - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Justin John Klimas | 2018 | 2005 - Bachelor of Business - Bachelor Degree (AQF 7) - RMIT University ~ 2012 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Matthew Husband | 2011 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Tasmania ~ 2009 - Diploma of Financial Planning FNS50804 - Diploma (AQF 5) - MLC ThreeSixty ~ 2011 - Advanced Diploma of Financial Planning FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2018 - Certified Financial Planner - Professional Designations - FPA ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Mst Ferdausi Aktar | 2018 | 2017 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Ryan James Attard | 0 | 2017 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - RMIT University ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Thomas James Snell | 2016 | 2015 - Bachelor Business (Accounting Business Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2015 - Diploma Financial Planning FNS50615 - Diploma (AQF 5) - Mentor Education Group |