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:
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;
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 Montana | 2010 | 2004 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2010 - Certified Financial Planner (CFP) - Professional Designations - Financial Advice Association of Australia Limited ~ 2010 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2011 - LRS Life Risk Specialist - Professional Designations - Financial Advice Association of Australia Limited ~ 2011 - RG146 Provide advice in Margin Lending - Other - MLC ThreeSixty |
| Alexandria Thomaschuetz | 2006 | 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2023 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education Pty Limited ~ 2023 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2023 - FPC006 Taxation for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education Pty Limited ~ 2025 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| George Michael Caredes | 2004 | 1998 - Bachelor of Mathematics and Finance - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 1999 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Advice Association of Australia Limited ~ 2000 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Advice Association of Australia Limited ~ 2000 - Certified Financial Planner CFP - Professional Designations - Financial Advice Association of Australia Limited ~ 2001 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Financial Services Institute of Australasia ~ 2014 - SMSF Specialist Advisor - Professional Designations - SMSF Association Ltd ~ 2018 - Accredited Listed Product Adviser Program - Other - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Gregory Mifsud | 2000 | 1999 - Bachelor of Mathematics and Finance - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2002 - Diploma of Superannuation Management - Other - Association of Superannuation Funds of Australia Ltd (ASFA) ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Advice Association of Australia Limited ~ 2005 - SMSF Specialist Advisor - Professional Designations - SMSF Association Ltd (SMSF) ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2017 - Certified Financial Planner CFP - Professional Designations - Financial Advice Association of Australia Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Karen Doutty | 2018 | 1998 - Bachelor Commerce (EcoNomics) - Bachelor Degree (AQF 7) - Macquarie University ~ 2004 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Integratec (Aus.) Pty Ltd ~ 2005 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Tribeca ~ 2006 - CFP1 Ethics, Professionalism and Compliance - Bachelor Degree (AQF 7) - FPA Financial Planning Association of Australian Limited ~ 2007 - CFP2 - Applied Strategies 1 - Bachelor Degree (AQF 7) - FPA Financial Planning Association of Australian Limited ~ 2018 - Diploma Financial Planning FNS50615 - Diploma (AQF 5) - Mentor Education Group ~ 2025 - FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional - Bridging Course - Ethics - Kaplan Professional |
| Luke Russell Mansell | 2007 | 2006 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Financial Services Institute of Australasia ~ 2010 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Higher Education Pty Limited ~ 2011 - FNS60404 Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2012 - ASX Accredited Listed Products Adviser (ALPA) Program - Professional Designations - InvestmentsKaplan Higher Education Pty Limited ~ 2012 - Self Managed Superannuation Fund - Certificate (AQF 1-4) - Kaplan Higher Education Pty Limited ~ 2013 - LRS Life Risk Specialist - Professional Designations - Financial Advice Association of Australia Limited ~ 2018 - Fellow Chartered Financial Practitioner FChFP - Professional Designations - AFA Association of Financial Advisers ~ 2018 - Graduate Certificate of Applied Finance - Graduate Certificate (AQF 8) - Kaplan Higher Education Pty Limited ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Marcus Thistleton | 2018 | 2013 - Bachelor of Commerce (Finance and International Business) - Bachelor Degree (AQF 7) - The University of Sydney ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Education ~ 2022 - FPC001B Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Education ~ 2023 - FPE020 SMSF Regulation and Taxation - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - SMSF Regulations and Taxation - Certificate (AQF 1-4) - Kaplan Professional |
| Matthew William Barton Smith | 2003 | 1995 - Associate Diploma of Business - Diploma (AQF 5) - NSW TAFE ~ 1999 - Bachelor of Economics (Social Sciences) - Bachelor Degree (AQF 7) - University of Sydney ~ 2003 - Diploma of Financial Planning (DFP 1-8) - Diploma (AQF 5) - Financial Advice Association of Australia Limited ~ 2009 - Certified Financial Planner (CFP) - Professional Designations - Financial Advice Association of Australia Limited ~ 2010 - RG146 Margin Lending - Other - MLC ThreeSixty |
| Melissa Jane Rethati | 2018 | 2007 - Bachelor of Business - - University of Technology Sydney (UTS) ~ 2024 - Accredited Listed Product Adviser Program - Certificate (AQF 1-4) - KAPLAN |
| Rodney Allen Dickinson | 1995 | 1994 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Newcastle ~ 2003 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |