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;
interests in managed investment schemes limited to:
MDA 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:
interests in managed investment schemes limited to:
MDA services; 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 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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Alexander Rhys O'brien | 2012 | 2011 - Bachelor of Applied Finance and Economics - Bachelor Degree (AQF 7) - Macquarie University ~ 2012 - Certified Financial Planner - Professional Designations - FPA ~ 2012 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Amy Orme Atkinson | 2015 | 2013 - Bachelor of Finance - Bachelor Degree (AQF 7) - Australian National University ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - CFP Certification Program - Professional Designations - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Andrew Angelo Biviano | 2018 | 1999 - Bachelor of Mathematics - - University of Wollongong ~ 2004 - Graduate Diploma in Financial Planning - - Securities Institute of Australia ~ 2010 - Professional Certificate in SMSF - - University of Adelaide ~ 2013 - Cert IV Mortgage Broking - - Kaplan Professional |
| Benjamin Gilbert Graham | 2007 | 2002 - Bachelor of Engineering (Honours) - Bachelor Honours Degree (AQF 8) - University of Leeds ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2009 - Certified Financial Planner - - Financial Planning Association |
| Brent Andrew Lynch | 2005 | 2000 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - Macquarie University ~ 2008 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2011 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Bronwen Batty | 2003 | 1996 - Certificate in a Financial Markets - - Securities Institute of Australia ~ 2000 - Diploma Financial Markets - - Securities Institute of Aust. ~ 2000 - Diploma of Financial Markets - Diploma (AQF 5) - Securities Institute Education ~ 2005 - CFP Program - - Fpa/Deakin University ~ 2005 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2009 - Aged Care Specialist - - Strategy Steps ~ 2010 - Margin Lending and Geared Investments - Professional Designations - Kaplan Professional ~ 2012 - SMSF Specialist - - Candish ~ 2013 - SMSF Course - Certificate (AQF 1-4) - University of Adelaide |
| David John Sellers | 2022 | 1997 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Wollongong ~ 2002 - Master of Business Administration - Masters Degree (AQF 9) - University of Wollongong ~ 2018 - Graduate Certificate in Financial Planning - Bachelor Honours Degree (AQF 8) - Griffith University ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2022 - Introduction to Self Managed Superannuation Funds - Other - Kaplan Professional |
| Gregory O'reilly | 2018 | 2017 - Diploma of Financial Planning - - Monarch ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Jaxon Lee King | 2013 | 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Threesixty ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2022 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jillian Mary Clarke | 2012 | 1989 - Bachelor of Commerce & Administration - - University of Wellington ~ 2007 - Graduate Diploma in Financial Planning - - Finsia ~ 2016 - Accredited Aged Care Professional - - Aged Care Steps |
| John Justin Zahra | 2023 | 2000 - Bachelor of Business - Bachelor Degree (AQF 7) - Victoria University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Kate Louise Golder | 2004 | 1999 - Bachelor of Arts - - University of Queensland ~ 1999 - Bachelor of Commerce - - University of Queensland ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2004 - Certified Financial Planner - - Financial Planning Association |
| Keith Jones | 1994 | 1992 - Bachelor of Arts (Economics) - - University of New England ~ 1996 - Diploma of Financial Planning - - Deakin University ~ 1997 - Certified Financial Planner - - Financial Planning Association ~ 2016 - Master of Economic Studies - Masters Degree (AQF 9) - University of New England |
| Kerri-lyn Mendl | 1997 | 1994 - Bachelor of Business - - Central Queensland University ~ 2002 - Diploma of Financial Planning - DFP 1-8 - - Financial Planning Association (FPA) ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2016 - Tier 1 Margin Lending - Personal Advice - - Kaplan Professional Education |
| Nathan Michael Hayes | 2008 | 2002 - Bachelor of Commerce - - University of NSW ~ 2008 - Graduate Certificate in Financial Planning - - Finsia Education ~ 2013 - Master of Applied Finance - - Kaplan Education |
| Rhys John Foan | 2015 | 2010 - Bachelor of Finance (Business Finance) - Bachelor Degree (AQF 7) - University of Newcastle ~ 2014 - Diploma of Financial Planning FNS50610 - Diploma (AQF 5) - Kaplan Australia ~ 2018 - RG146 Margin Lending - Diploma (AQF 5) - Integrity Education Group |
| Ronald Tyler | 2010 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca (Kaplan Professional) ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2013 - Master of Professional Accounting - - Kaplan Professional ~ 2018 - Master of Financial Planning - - Kaplan Professional |
| Sean Bailey | 2005 | 1991 - Bachelor of Arts - - University of Queensland ~ 1991 - Bachelor of Arts - Bachelor Degree (AQF 7) - University of Qld ~ 1995 - Bachelor of Business (Communication) - Bachelor Degree (AQF 7) - QUT ~ 1995 - Bachelor of Business Communication - - Queensland Univeristy of Technology ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional |