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 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Business (Financial Planning) - RMIT University |
| Caitlyn Amy Kent | 2023 | Bachelor of Commerce (Accounting) - USQ ~ Diploma of Financial Planning - Monarch Institute ~ Graduate Diploma in Financial Planning - Deakin University |
| James Mitchell Alexander | 2023 | Bachelor of Business (Finance, Management) - QUT ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Jason Arthur Kirk | 2003 | Bachelor of Economics - The University of New England ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Applied Finance & Investment - Securities Institute ~ SMSF Specialist Adviser - SMSFA |
| Katrina Dhu | 2007 | Advance Diploma of Financial Services - Advice Education ~ Diploma of Financial Services (Financial Planning) - ThreeSixty ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma in Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Kelsey Dent | 2018 | Advanced Diploma of Financial Planning - Monarch Institute ~ Bachelor of Business & Management - Leicester Demontfort University ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Deakin University |
| Laurelle Bryce | 2014 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ SMSF - Cavendish & ICFS Specialist |
| Melissa Sue Robin | 0 | Graduate Certificate of Financial Planning - Griffith University ~ Master of Financial Planning - Griffith University |
| Niyati Khanna | 2016 | Advanced Diploma of Financial Planning - Kaplan ~ Certified Financial Planner - Financial Planning Association of Australia ~ Chartered Accountancy - Institute of Chartered Accountants India ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Post Graduate Diploma in Business Management - Indian School of Business |
| Paul Arthur Shepherd | 2011 | Accredited Investment Fiduciary - fi360 Pacific ~ Bachelor of Engineering - Central Queensland University ~ Certified Financial Planner - Financial Planning Association of Australia Limited ~ Diploma in Business (Frontline Management) - Australian Institute of Management ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional Education |
| Stephen Boyd Lowry | 2000 | Accredited Investment Fiduciary - fi360 Pacific ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Teneale Lee Laister | 2010 | Advanced Diploma of Financial Services (Financial Planning) - International Institute of Technology ~ Bachelor of Commerce with Distinction (Majoring in Finance, Financial Planning and Management) - Deakin University Australia ~ Certified Financial Planner - Financial Planning Association of Australia Limited ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Veronika Sarah Holubova | 2018 | Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Monarch Institute ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Master of Financial Planning - Griffith University |