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 | Bachelor of Applied Finance and Economics - Macquarie University ~ Certified Financial Planner - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Amy Orme Atkinson | 2015 | Bachelor of Finance - Australian National University ~ CFP Certification Program - FPA ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Andrew Angelo Biviano | 2018 | Bachelor of Mathematics - University of Wollongong ~ Cert IV Mortgage Broking - Kaplan Professional ~ Graduate Diploma in Financial Planning - Securities Institute of Australia ~ Professional Certificate in SMSF - University of Adelaide |
| Benjamin Gilbert Graham | 2007 | Bachelor of Engineering - The University of Leeds ~ Bachelor of Engineering - The University of Leeds ~ Certified Financial Planner - Financial Planning Association ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Financial Planning - FINSIA ~ Graduate Diploma of Financial Planning - FINSIA |
| Bronwen Batty | 2003 | Aged Care Specialist - Strategy Steps ~ CFP Program - Fpa/Deakin University ~ Certificate in a Financial Markets - Securities Institute of Australia ~ Certified Financial Planner - Financial Planning Association ~ Diploma Financial Markets - Securities Institute of Aust. ~ Diploma of Financial Markets - Securities Institute Education ~ Margin Lending and Geared Investments - Kaplan Professional ~ SMSF Course - University of Adelaide ~ SMSF Specialist - Candish |
| David John Sellers | 2022 | Bachelor of Commerce - University of Wollongong ~ Graduate Certificate in Financial Planning - Griffith University ~ Introduction to Self Managed Superannuation Funds - Kaplan Professional ~ Master of Business Administration - University of Wollongong ~ Master of Financial Planning - Griffith University |
| Evan James Williamson | 2021 | Bachelor of Education - Western Sydney University ~ Masters of Financial Planning - Western Sydney University |
| Gregory O'reilly | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Monarch |
| Jaxon Lee King | 2013 | Advanced Diploma of Financial Services (Financial Planning) - Threesixty ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ FPC007B Client Engagement Skills - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Jillian Mary Clarke | 2012 | Accredited Aged Care Professional - Aged Care Steps ~ Bachelor of Commerce & Administration - University of Wellington ~ Graduate Diploma in Financial Planning - Finsia |
| Kate Louise Golder | 2004 | Bachelor of Arts - University of Queensland ~ Bachelor of Commerce - University of Queensland ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Financial Planning - Securities Institute of Australia |
| Keith Jones | 1994 | Bachelor of Arts (Economics) - University of New England ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University |
| Kerri-lyn Mendl | 1997 | Bachelor of Business - Central Queensland University ~ Diploma of Financial Planning - DFP 1-8 - Financial Planning Association (FPA) ~ Self Managed Superannuation Funds - Kaplan Professional Education ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional Education |
| Nathan Michael Hayes | 2008 | Bachelor of Commerce - University of NSW ~ Bachelor of Commerce - University of NSW ~ Graduate Certificate in Financial Planning - Finsia Education ~ Graduate Certificate in Financial Planning - Finsia Education ~ Master of Applied Finance - Kaplan Education ~ Master of Applied Finance - Kaplan Education |
| Nitin Kataria | 1999 | Accredited Derivatives Adviser Level 1 - Kaplan Professional Education ~ Graduate Diploma in Applied Finance and Investment - Securities Institute of Australia ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Ronald Tyler | 2010 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Tribeca (Kaplan Professional) ~ Master of Financial Planning - Kaplan Professional ~ Master of Professional Accounting - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Sandy Yee-nga Lui | 2008 | Advanced Diploma of Financial Services (Financial Planning) - GWM Adviser Services|Three Sixty ~ Advanced Diploma of Financial Services (Financial Planning) - GWM Adviser Services|Three Sixty ~ Bachelor of Business - University of Technoloy Sydney ~ Bachelor of Business - University of Technoloy Sydney ~ Diploma of Financial Services (Financial Planning) - GWM Adviser Services| Advice Education ~ Diploma of Financial Services (Financial Planning) - GWM Adviser Services| Advice Education |
| Sulochana Kulendran | 2005 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Computing Science - University of Technology Sydney ~ Bachelor of Science - University of Technology, Sydney ~ Diploma of Financial Planning - Kaplan Professional Education ~ Graduate Diploma in Finance - University of Technology, Sydney |
| Uday Chopra | 2002 | ASX Accredited Listed Products Adviser - Kaplan Professional Education ~ Accredited Derivatives Adviser Level 1 - Kaplan Professional Education ~ Diploma in Financial Advising - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Tribeca Learning |