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 | 2003 - Bachelor of Business (Economics and Finance) - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2010 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Provide advice in Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Ben Wise | 2009 | 2008 - Self Managed Super Fund Accreditation - Other - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments - Other - Kaplan Professional ~ 2012 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| George Michael Caredes | 2004 | 1998 - Bachelor of Mathematics and Finance - Bachelor Degree (AQF 7) - University of Technology Sydney (UTS) ~ 2001 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute ~ 2002 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia (FPA) ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Gregory Mifsud | 2000 | 1999 - Bachelor of Mathematics and Finance - - University of Technology Sydney (UTS) ~ 2002 - Diploma of Superannuation Management - - Association of Superannuation Funds of Australia Ltd (ASFA) ~ 2003 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Karen Doutty | 2018 | 1998 - Bachelor Commerce (EcoNomics) - Bachelor Degree (AQF 7) - Macquarie University ~ 2005 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - Tribeca ~ 2018 - Diploma Financial Planning FNS50615 - Diploma (AQF 5) - Mentor Education Group |
| Luke Russell Mansell | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - Finsia ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2018 - Graduate Certificate in Applied Finance and Investment - - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Marcus Thistleton | 2018 | 2013 - Bachelor of Commerce (Finance and International Business) - Bachelor Degree (AQF 7) - University of Sydney ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - 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) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2009 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - 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 |
| XI Benny Yang | 0 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |