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 Francis Harding | 2004 | 1990 - Bachelor of Commerce - - University of NSW ~ 1996 - Masters of Business - - UTS ~ 2004 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2005 - CFP - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Bryn Morrison | 0 | 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Education ~ 2023 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Queensland University of Technology |
| Charlotte Vidler | 0 | 2023 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - University of Technology Sydney ~ 2025 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of Technology Sydney |
| 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 |
| 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 - Graduate Diploma (AQF 8) - Kaplan Higher Education ~ 2009 - Self Managed Superannuation Funds - Other - Kaplan ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Matthew Ian Bull | 2011 | 1994 - Bachelor of Commerce in Banking and Finance - Bachelor Degree (AQF 7) - University of Canberra ~ 2007 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - CPA Australia ~ 2009 - CFP - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2023 - CAANZ SMSF Specialisation - Other - UNSW Business School ~ 2023 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| 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 ~ 2024 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of New England |
| Raymond Shing | 2003 | 2002 - Bachelor of Business - - Queensland University of Technology ~ 2006 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2008 - Certified Financial Planner - - Financial Planning Association of Australia (FPA) ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Sarah Pearson | 2023 | 2020 - Professional Ethics - Bridging Course - Ethics - University of New England ~ 2021 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - University of Canberra ~ 2022 - Exam Standard Section 921B Corporations Act 2001 - Other - ASIC |
| 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 |
| 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 ~ 1999 - Master of Applied Finance - Masters Degree (AQF 9) - Macquarie University ~ 2006 - PHD Applied Finance - - Macquarie University ~ 2014 - CFP - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| 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 (Accounting) - Bachelor Degree (AQF 7) - Charles Sturt University ~ 1991 - Certified Financial Planner - - Charles Sturt ~ 1999 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Suzanne Elizabeth Mcintosh | 2003 | 1992 - Bachelor of Arts in Accountancy - Bachelor Degree (AQF 7) - University of South Australia ~ 1994 - Chartered Accountants Program - Professional Designations - Chartered Accountants Australia + New Zealand ~ 2002 - Diploma of Financial Planning - - Count Wealth Accountants ~ 2019 - SMSF Specialist Advisor Accreditation - Professional Designations - SMSF Association ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| 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 ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |