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;
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; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of the following classes of financial products:
deposit and payment products limited to:
basic deposit products;
deposit products other than basic deposit products;
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; and
superannuation;
to retail clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Ali Roshan | 2010 | 2002 - Bachelor of Science in Business Administration (Finance) - Bachelor Degree (AQF 7) - California State University ~ 2010 - Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Annette Ryan | 1997 | 1996 - Bachelor of Commerce - - Deakin University ~ 1999 - Diploma of Financial Planning - - Financial Planning Association ~ 2008 - SMSF Strategies - - Self Managed Super Fund Association ~ 2010 - ASX Listed Products Accreditation Course - - LPAC Online ~ 2011 - Margin Lending Accreditation Program - - Financial Essentials |
| Bradley Alan Hunt | 2004 | 2000 - Bachelor Commerce/Arts - - University of Melbourne ~ 2003 - Chartered Accountant - - ICAA ~ 2007 - Graduate Diploma Financial Planning - - FINSIA ~ 2012 - Certified Financial Planner (CFP) - - Financial Planning Association ~ 2015 - Certificate IV in Finance and Mortgage Broking - - KAPLAN |
| John Patrick Clarke | 1997 | 1991 - Bachelor of Business - Accounting - - The University of Southern Queensland ~ 2003 - Managed Investments - - CPA Australia ~ 2007 - Insurance (DFS 2) - - Mentor Education ~ 2009 - Self Managed Superannuation - - CPA Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan |
| Preeti Malini Sharma | 2018 | 1998 - Bachelor of Arts - Bachelor Degree (AQF 7) - The University of the South Pacific ~ 2005 - CPA Program - Professional Designations - CPA Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Rebecca Dorothy Hinsley | 2018 | 2014 - Diploma of Financial Planning - - CPA ~ 2014 - Provide Advice in SMSF - - The University of Adelaide ~ 2016 - Provide Advice in Superannaution - - CPA |
| Rebecca Holland | 0 | 2024 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of New England |
| Roberto Marra | 2014 | 2005 - Diploma of Financial Planning FNS50804 - - Tribeca Learning(Aust) Pty Ltd |
| Seamus Fennelly | 2009 | 2008 - Diploma of Financial Planning - - Sydney Institute of TAFE ~ 2008 - Diploma of Financial Services (Specialisation- Principles of Investment Planning, Risk Management, R - - International Institute of Technology (IIT) ~ 2009 - Advanced Diploma of Financial Planning - - International Institute of Technology (IIT) ~ 2009 - Certificate IV in Financial Services (Finance/ Mortgage broking) - - Archer College ~ 2011 - Masters of Business and Commerce (finance specialisation) - - UWS |
| Shaun Derek Porter | 2016 | 1990 - SACAE (now University of SA) - - Bachelor of Business (Banking and Finance) ~ 2016 - Accountants Self Managed Superannuation Funds Package - Certificate (AQF 1-4) - Kaplan Professional |