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 |
|---|---|---|
| Andrew Douglas Bennett | 1992 | 1986 - Diploma of Life Insurance - - Australian Insurance Institute ~ 1992 - Bachelor of Business - - USQ ~ 1998 - Graduate Diploma of Applied Finance & Investment - - Finsia ~ 1999 - CFP - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |
| Andrew Francis Harding | 2004 | 1990 - Bachelor of Commerce - - University of NSW ~ 1996 - Masters of Business - - UTS ~ 2004 - Grad Diploma of Financial Planning - - SIA ~ 2005 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| Catriona Marie Sgouros | 2014 | 2013 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2015 - Accredited Aged Care Professional - - Aged Care Steps ~ 2016 - Accredited Listed Product Adviser Program - - Kaplan Professional Education ~ 2019 - Self Managed Superannuation Funds - - Financial Education Professionals ~ 2021 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute |
| David Alan Black | 2014 | 2010 - Bachelor of Arts (Geographical Sciences and Planning) - - University of Queensland ~ 2010 - Bachelor of Economics (International Trade & Finance) - - University of Queensland ~ 2012 - Graduate Diploma of Financial Planning - - Kaplan ~ 2013 - Master of Applied Finance - - Kaplan ~ 2017 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| James Cotis | 1996 | 1994 - JP - Justice of the Peace - - NSW Attorney General and Justice Department ~ 2000 - CFP - Certified Financial Planner - - Financial Planning Association of Australia ~ 2000 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2001 - Diploma of Law - - NSW Legal Practioners Admission Board ~ 2005 - SMSF Specialist Advisor (SSA) - - Self Managed Super Fund Association ~ 2005 - SMSF Specialist Advisor™ (SSA) - - Self Managed Super Fund Association |
| Jonathan Samuel Bendeich | 2005 | 2006 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca |
| Luke Andrew Morris | 2008 | 2003 - Diploma of Financial Markets - - Securities Institute ~ 2008 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Finsia ~ 2009 - Graduate Diploma of Applied Finance - - Kaplan ~ 2009 - Self Managed Superannuation Funds - Other - Kaplan |
| Matthew Ian Bull | 2011 | 1994 - Bachelor of Commerce in Banking and Finance - Bachelor Degree (AQF 7) - University of Canberra ~ 1999 - CPA Certified Practicing Accountant - Professional Designations - CPA Australia ~ 2007 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - CPA Australia ~ 2013 - RG146 925 Life Insurance - Diploma (AQF 5) - Kaplan Australia ~ 2023 - CAANZ SMSF Specialisation - Other - UNSW Business School |
| Nicole Anne Bendeich | 2018 | 2005 - Certificate III in Financial Services - Certificate (AQF 1-4) - TAFE NSW ~ 2007 - Certificate IV in Financial Services - Certificate (AQF 1-4) - Australian College of Commerce and Management ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional |
| Raymond Shing | 2003 | 2002 - Bachelor of Business - - Queensland University of Technology ~ 2006 - Master of Financial Planning - - Griffith University ~ 2008 - Certified Financial Planner - - Financial Planning Association of Australia (FPA) ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Rebecca Anne Brett | 2017 | 2016 - Diploma of Financial Planning - - Kaplan ~ 2019 - Master of Applied Finance (Financial Planning) - Masters Degree (AQF 9) - Charles Sturt University |
| Shane Andrew O'grady | 2004 | 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2009 - Self Managed Superannuation Fund Adviser Education Program - Other - Financial Essentials ~ 2010 - Certified Financial Panner - Professional Designations - Financial Planning Association of Australia |
| Simon Parker | 2015 | 2013 - Bachelor of Business (Management) - - University of Queensland ~ 2014 - Diploma of Financial Planning - - Monarch Institute ~ 2015 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2017 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional ~ 2019 - Master of Financial Planning - - Griffity University |
| Stephen Blaker | 1990 | 2000 - CFP - Certified Financial Planner - - Financial Planning Association of Australia ~ 2000 - Diploma of Financial Planning - - Deakin & RMIT Universities ~ 2003 - ASX Listed Products Accreditation Course - Other - ASX & Savings Factory ~ 2004 - Advanced Diploma of Financial Services (SMSF specialist) - - Tribeca ~ 2005 - SMSF Specialist Advisor - Professional Designations - SMSF Association |
| Stephen Paul Christie | 2000 | 1990 - Bachelor of Commerce - - Australian National University ~ 1991 - Bachelor of Laws - - Australian National University ~ 1999 - Master of Applied Finance - - Macquarie University ~ 2006 - PHD Applied Finance - - Macquarie University ~ 2014 - Certified Financial Planner - - Financial Planning |
| Steven Scarano | 2023 | 2022 - Bachelor of Business (Major in Financial Planning) - Bachelor Degree (AQF 7) - Swinburne University of Technology |
| Steven William Chandler | 1997 | 1988 - Bachelor of Business - - Charles Sturt University ~ 1991 - Certified Financial Planner - - Charles Sturt ~ 1999 - Diploma Financial Planning - - Financial Planning Association |
| Suzanne Elizabeth Mcintosh | 2003 | 1992 - Bachelor of Arts in Accountancy - - University of South Australia ~ 2002 - Diploma of Financial Planning - - Count Wealth Accountants ~ 2019 - SMSF Specialist Advisor Accreditation - Professional Designations - SMSF Association |
| Thomas Serratore | 2022 | 2013 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |