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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Ari Ben Moses | 2015 | Bachelor of Business Administration - Ritsumeikan Asia Pacific University ~ Diploma of Financial Planning - Pinnacle ~ Tax for Financial Advising - Kalan |
| Blake Alexander Paul Sloane | 2015 | Bachelor of Business & Commerce (Applied Finance) - University of Western Sydney ~ Diploma of Finnacial Planning - Pinnacle ~ SMSF Accreditation - Pinnacle Financial Services Academy |
| Brendan Murtagh | 0 | Bachelor of Commerce (Finance and Accounting) - University of Newcastle ~ Bachelor of Innovation and Entrepreneurship - University of Newcastle ~ Graduate Diploma in Financial Planning - Kaplan |
| Cameron Robert Stuart | 2012 | ASX Listed Product Accreditation Course - LPAC ~ ASX Listed Product Accreditation Course - LPAC ~ Advanced Diploma of Financial Services - FINSIA ~ Advanced Diploma of Financial Services - FINSIA ~ BEc (Maj. Finance & Economics) - Macquarie University ~ BEc (Maj. Finance & Economics) - Macquarie University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Christy Ann Marshall | 2017 | Diploma of Financial Planning - Monarch Institute ~ Mortgage and Finance Broker - Realestate Academy Australia |
| Damian Francis Smith | 2000 | ASX Listed Product Accreditation Course - LPAC ~ ASX Listed Product Accreditation Course - LPAC ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ SMSF Specialist Advisor - SMSF Association & Kaplan Professional ~ SMSF Specialist Advisor - SMSF Association & Kaplan Professional |
| Faisal Rahman | 2008 | Advanced Diploma Of Financial Planning - Kaplan Professional Education ~ Diploma of Financial Planning - Kaplan Professional Education ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional |
| Gerard Baker | 1987 | Advanced Financial Planning - IPAC ~ Entry Level Competencies - Tribeca Learning (Australia) Pty Ltd ~ Risk Management - Integratec (Australia) Pty Ltd ~ Superannuation and Retirement Planning - Integratec (Australia) Pty Ltd |
| Gregory Mcloughlin | 2011 | Bachelor of Business (Accounting) - University of Western Sydney ~ Master of Commerce (Financial Planning) - University of Western Sydney |
| Harris Hagias | 2008 | Graduate Diploma in Global Wealth Management - University of Adelaide ~ RG146 Margin Lending - MLC ThreeSixty |
| Jack Haddad | 2016 | Bachelor Business (Financial Planning) - Royal Melbourne Institute of Technology (RMIT) ~ SMSF Reg and Taxation - Kaplan |
| Jamie Jenasi | 2014 | Diploma of Financial Planning - International Institute of Technology ~ Self Managed Superannuation Funds - International Institute of Technology |
| Jayden Zane Adams | 2023 | ASX Listed Products - LPAC Online ~ Bachelor of Commerce (Financial Planning) - University of the Sunshine Coast ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Margin Lending Specialist - Kaplan |
| Lancelot Craig Smith | 1989 | Master of Commerce (Financial Planning) - The University of Western Sydney ~ Professional Certificate in Self-Managed Superannuation Funds - The University of Adelaide ~ SMSF Specialisation Advisor - #5308 - SPAA - SMFS Professional's Association of Australia |
| Lorena Millett | 2005 | ASX Accredited Listed Products Adviser (ALPA) Program - LPAC ~ ASX Accredited Listed Products Adviser (ALPA) Program - LPAC ~ Cavendish & ICFS Specialist SMSF Course - Cavendish & ICFS ~ Cavendish & ICFS Specialist SMSF Course - Cavendish & ICFS ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Manpreet Banga | 2018 | Bachelor of Business and Commerce (Applied Finance) - University of Western Sydney ~ Bachelor of Laws - University of Western Sydney ~ Diploma of Financial Planning - Kaplan Professional |
| Mark Brogan | 2006 | Advanced Diploma in Financial Planning - Kaplan Professional Education ~ FPA Foundation DFP - Deakin University ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Martin Jandera | 2000 | Certified Financial Planner Program - Financial Planning Association of Australia ~ Diploma Financial Planning - Financial Planning Association of Australia ~ Estate Planning - UTS Faculty of Law ~ SMSF Association Specialist Accreditation Program - SPAA |
| Martin William Reyment | 2006 | Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Natalie Elizabeth Conroy | 2007 | Advanced Diploma of Financial Services (Financial Planning) - KAPLAN ~ Bachelor of Commerce - Curtin University ~ CFP - Financial Planning Association of Australia ~ Diploma of Financial Services (Financial Planning) - KAPLAN ~ SMSF accreditation - KAPLAN |
| Peter John Walsh | 2010 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Samuel Byrne | 2018 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - Macquarie University ~ Diploma of Financial Planning - Kaplan |
| Troy Daniel Mahoney | 2014 | Bachelor Commerce - The University of Newcastle ~ Bachelor Commerce - The University of Newcastle ~ Diploma of Fiancial Services (Financial Planning) - Tribeca ~ Diploma of Fiancial Services (Financial Planning) - Tribeca |
| Tyler Jacobs | 2023 | Master of Financial Planning - Griffith University |
| Zhi Cheng Huang | 2012 | Advanced Diploma Financial Services (Financial Planning) - Kaplan ~ Bachelor of Commerce - Monash University ~ Diploma Financial Services (Financial Planning) - Pinnacle Financial Services Academy ~ Margin Lending - Pinnacle Financial Services Academy |