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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; and
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 | Bachelor of Commerce (Accounting and Finance) - Australian National University ~ Bachelor of Economics - Australian National University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning 1-8 - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Andrew Bowring | 1989 | Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Andrew Edward Zbik | 2008 | Bachelor of Business Administration & Bachelor of Laws - Macquarie University ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Legal Practice - NSW College of Law ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Cherie Jane Carmody | 1998 | Bachelor of Business (Accounting) - Deakin University ~ Bachelor of Business - Deakin University ~ Diploma of Financial Planning - Deakin University ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending and Geared Investments - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional |
| Christopher Mclean | 1986 | Certified Finanacial Planner - FPA ~ Diploma of Business - Swinburne University of Technology ~ Diploma of Financial Planning - Deakin University |
| Colin Bruce Pettigrew | 1986 | Bachelor of Commerce - University of Melbourne ~ Certified Practising Accountant - CPA |
| Doris Baron | 1997 | Bachelor of Business (Economics and Finance) - Other ~ Diploma of Financial Planning - Deakin University ~ Margin Lending - Colonial ~ Self Managed Super Funds - KAPLAN |
| Hoa Tran | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commence (Economics) - University of Wollongong ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| James Hamilton Tate | 2023 | Graduate Diploma of Financial Planning - Kaplan Professional |
| Jason Valentine Davis | 2011 | Advanced Diploma of Financial Services - Tribeca ~ Diploma of Financial Services - Deakin |
| Jim Nelson | 2000 | Advanced Diploma of Financial Planning - Aust. & NZ Institute of Insurance & Finance ~ Diploma of Financial Services - Aust. & NZ Institute of Insurance & Finance ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Master of Business Administration - Massey University - New Zealand |
| John Yanoulis | 2000 | Certificate IV Finance and Mortgage Broking - AAMC Training Group ~ Diploma of Financial Services (Financial Planning) - Financial Services Training & Assessment Pty Ltd |
| Margaret Franklin | 2011 | Bachelor of Business - University of Southern Queensland ~ Diploma of Financial Services - Finsia |
| Matteo Accadia | 2000 | Accredited Listed Product Adviser Program - Kaplan ~ Certified Financial Planner - University of Western Sydney/Deakin/FPA ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Rodney Hamilton Tate | 1994 | Diploma Financial Planning (DFP) - Deakin University ~ Listed Product Accreditation Course - Savings Factory ~ Margin Lending and Geared Investments - Kaplan Professional |
| Simon Coad | 2001 | Advanced Diploma of Financial Planning FNS60415 - Kaplan Australia ~ Diploma of Financial Planning FNS50615 - Kaplan Australia ~ Master of Applied Finance (Wealth Management & Financial Markets) - Kaplan Australia |