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:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of 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;
to retail clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Ashleigh Jade Thompson | 2023 | 2022 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University ~ 2023 - Accredited Listed Product Adviser Program - Other - Kaplan Professional |
| Caitlyn Amy Kent | 2023 | 2015 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - USQ ~ 2019 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2022 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Deakin University |
| James Mitchell Alexander | 2023 | 2012 - Bachelor of Business (Finance, Management) - Bachelor Degree (AQF 7) - QUT ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Jason Arthur Kirk | 2003 | 1994 - Bachelor of Economics - - The University of New England ~ 1999 - Graduate Diploma in Applied Finance & Investment - - Securities Institute ~ 2003 - Certified Financial Planner - - FPA ~ 2009 - SMSF Specialist Adviser - - SMSFA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Katrina Dhu | 2007 | 2006 - Diploma of Financial Services (Financial Planning) - - ThreeSixty ~ 2011 - Advance Diploma of Financial Services - - Advice Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Kelsey Dent | 2018 | 2011 - Bachelor of Business & Management - - Leicester Demontfort University ~ 2018 - Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University ~ 2024 - CFP C - Masters Degree (AQF 9) - Financial Advice Association Australia |
| Melissa Sue Robin | 2024 | 2017 - Graduate Certificate of Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Niyati Khanna | 2016 | 2003 - Chartered Accountancy - - Institute of Chartered Accountants India ~ 2008 - Post Graduate Diploma in Business Management - - Indian School of Business ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan ~ 2018 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Paul Arthur Shepherd | 2011 | 2000 - Bachelor of Engineering - Bachelor Degree (AQF 7) - Central Queensland University ~ 2007 - Diploma in Business (Frontline Management) - - Australian Institute of Management ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2015 - Certified Financial Planner - - Financial Planning Association of Australia Limited |
| Stephen Boyd Lowry | 2000 | 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2009 - Certified Financial Planner - - Financial Planning Association of Australia |
| Teneale Lee Laister | 2010 | 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - International Institute of Technology ~ 2012 - Bachelor of Commerce with Distinction (Majoring in Finance, Financial Planning and Management) - - Deakin University Australia ~ 2016 - Certified Financial Planner - - Financial Planning Association of Australia Limited ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Veronika Sarah Holubova | 2018 | 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2019 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |