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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
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 |
|---|---|---|
| Adam Patching | 2001 | 2000 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Australian National University ~ 2000 - Bachelor of Economics - Bachelor Degree (AQF 7) - Australian National University ~ 2002 - Diploma of Financial Planning 1-8 - Advanced Diploma (AQF 6) - Financial Planning Association of Australia ~ 2004 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Andrew Edward Zbik | 2008 | 2006 - Bachelor of Business Administration & Bachelor of Laws - - Macquarie University ~ 2007 - Graduate Diploma of Legal Practice - - NSW College of Law ~ 2008 - Diploma of Financial Planning - - Kaplan Professional ~ 2018 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association |
| Cherie Jane Carmody | 1998 | 1995 - Bachelor of Business (Accounting) - - Deakin University ~ 1995 - Bachelor of Business - - Deakin University ~ 2002 - Diploma of Financial Planning - - Deakin University ~ 2002 - Diploma of Financial Planning - - Financial Planning Association ~ 2008 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Daniel Lawrence Findlay | 1997 | 2003 - Diploma - Financial Planning - - Financial Planning Association of Australia ~ 2005 - Other - Tertiary Assoc Diploma of Business Management - - La Trobe Uni |
| Doris Baron | 1997 | 1987 - Bachelor of Business (Economics and Finance) - - Other ~ 2000 - Diploma of Financial Planning - - Deakin University ~ 2006 - Margin Lending - Other - Colonial ~ 2007 - Self Managed Super Funds - Other - KAPLAN |
| Gregory Benjamin Baker | 1994 | 1982 - Bachelor of Applied Science - - Bendigo College of Advanced Education ~ 2004 - Self Managed Super Funds - - Kaplan Professional ~ 2011 - Margin Lending - - Stockbroker's Association of Australia ~ 2016 - Diploma of Financial Planning - - International Institute of Technology ~ 2020 - Accredited Listed Product Adviser Program - Other - Kaplan Professional |
| Hoa Tran | 2013 | 2003 - Bachelor of Commence (Economics) - - University of Wollongong ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - SMSF Specialist Advisor (SSA) Accreditation - Professional Designations - SMSF Association |
| James Hamilton Tate | 2023 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jason Valentine Davis | 2011 | 2005 - Diploma of Financial Services - - Deakin ~ 2006 - Advanced Diploma of Financial Services - - Tribeca |
| Jim Nelson | 2000 | 2002 - Master of Business Administration - Masters Degree (AQF 9) - Massey University - New Zealand ~ 2007 - Diploma of Financial Services - Diploma (AQF 5) - Aust. & NZ Institute of Insurance & Finance ~ 2008 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Aust. & NZ Institute of Insurance & Finance ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| John Yanoulis | 2000 | 2005 - Diploma of Financial Services (Financial Planning) - - Financial Services Training & Assessment Pty Ltd ~ 2012 - Certificate IV Finance and Mortgage Broking - - AAMC Training Group |
| Margaret Franklin | 2011 | 1995 - Bachelor of Business - - University of Southern Queensland ~ 2007 - Diploma of Financial Services - - Finsia |
| Rodney Hamilton Tate | 1994 | 2004 - Diploma Financial Planning (DFP) - - Deakin University ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2012 - Listed Product Accreditation Course - - Savings Factory |
| Simon Coad | 2001 | 2014 - Master of Applied Finance (Wealth Management & Financial Markets) - Masters Degree (AQF 9) - Kaplan Australia ~ 2017 - Diploma of Financial Planning FNS50615 - Diploma (AQF 5) - Kaplan Australia ~ 2018 - Advanced Diploma of Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Kaplan Australia |
| Thomas Joseph | 2014 | 2014 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Monarch Institute ~ 2015 - Margin Lending - Diploma (AQF 5) - Monarch Institute ~ 2017 - Fellow Chartered Financial Practitioner (FChFP) - Professional Designations - AFA |