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 | Bachelor of Business - USQ ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Life Insurance - Australian Insurance Institute ~ Graduate Diploma of Applied Finance & Investment - Finsia |
| Andrew Francis Harding | 2004 | Bachelor of Commerce - University of NSW ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Grad Diploma of Financial Planning - SIA ~ Masters of Business - UTS |
| Bronwyn Rae Speed | 1992 | Bachelor of Education - University of South Australia ~ CA - Chartered Accountant - The Institute of Chartered Accountants in Australia ~ CFP - Certified Financial Planner - Financial Planning Associate of Australia ~ Graduate Diploma of Accounting - Flinders University |
| Catriona Marie Sgouros | 2014 | Accredited Aged Care Professional - Aged Care Steps ~ Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Kaplan Professional Education ~ Self Managed Superannuation Funds - Financial Education Professionals |
| David Alan Black | 2014 | Bachelor of Arts (Geographical Sciences and Planning) - University of Queensland ~ Bachelor of Economics (International Trade & Finance) - University of Queensland ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Kaplan ~ Master of Applied Finance - Kaplan |
| Guy Peter Amon | 1997 | Bachelor of Commerce - University of NSW ~ Bachelor of Laws - Deakin University ~ Certified Financial Planner - Financial Planning Association ~ Certified Practicing accountant - Financial Planning association |
| James Cotis | 1996 | CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia ~ Diploma of Law - NSW Legal Practioners Admission Board ~ JP - Justice of the Peace - NSW Attorney General and Justice Department ~ SMSF Specialist Advisor (SSA) - Self Managed Super Fund Association ~ SMSF Specialist Advisor (SSA) - Self Managed Super Fund Association |
| Katherine Jane Cramsie | 2004 | Bachelor of Business - University of Technology ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Luke Andrew Morris | 2008 | Diploma of Financial Markets - Securities Institute ~ Graduate Certificate in Financial Planning - Finsia ~ Graduate Diploma of Applied Finance - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Raymond Shing | 2003 | Bachelor of Business - Queensland University of Technology ~ Certified Financial Planner - Financial Planning Association of Australia (FPA) ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Master of Financial Planning - Griffith University |
| Rebecca Anne Brett | 2017 | Diploma of Financial Planning - Kaplan ~ Master of Applied Finance (Financial Planning) - Charles Sturt University |
| Sarah Pearson | 0 | Bachelor of Commerce (Financial Planning) - University of Canberra ~ Professional Ethics - University of New England |
| Shane Andrew O'grady | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Certified Financial Panner - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Self Managed Superannuation Fund Adviser Education Program - Financial Essentials |
| Simon Parker | 2015 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Business (Management) - University of Queensland ~ Certificate IV in Finance and Mortgage Broking - Kaplan Professional ~ Diploma of Financial Planning - Monarch Institute ~ Master of Financial Planning - Griffity University |
| Sonja Tetzke | 2000 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Certified Financial Planner - Financial Planning Association of Australia ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Stephen Blaker | 1990 | ASX Listed Products Accreditation Course - ASX & Savings Factory ~ Advanced Diploma of Financial Services (SMSF specialist) - Tribeca ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin & RMIT Universities ~ SMSF Specialist Advisor - SMSF Association |
| Stephen Paul Christie | 2000 | Bachelor of Commerce - Australian National University ~ Bachelor of Laws - Australian National University ~ Certified Financial Planner - Financial Planning ~ Master of Applied Finance - Macquarie University ~ PHD Applied Finance - Macquarie University |
| Steven Scarano | 0 | Bachelor of Business (Major in Financial Planning) - Swinburne University of Technology |
| Steven William Chandler | 1997 | Bachelor of Business - Charles Sturt University ~ Certified Financial Planner - Charles Sturt ~ Diploma Financial Planning - Financial Planning Association |
| Suzanne Elizabeth Mcintosh | 2003 | Bachelor of Arts in Accountancy - University of South Australia ~ Diploma of Financial Planning - Count Wealth Accountants ~ SMSF Specialist Advisor Accreditation - SMSF Association |
| Thomas Serratore | 2022 | Bachelor of Business - University of Technology Sydney ~ Master of Financial Planning - Griffith University |