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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives;
general insurance products;
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;
superannuation; and
provide general financial product advice for the following classes of financial products:
financial products limited to:
miscellaneous financial risk products limited to repayment waiver products; 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:
deposit and payment products including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
derivatives; and
securities; and
applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
derivatives;
general insurance products;
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 |
|---|---|---|
| Antony Joseph Reaiche | 2005 | Advanced Self Managed Super Funds Program - Kaplan ~ Advice in Practice (Aged Care) - Aged Care Steps ~ Bachelor of Business (Financial Planning) - RMIT ~ The Strategic Advice Steps for Aged Care - Aged Care Steps |
| Bjorn Elix | 2016 | Advanced Diploma Financial Services (Financial Planning) - Kaplan ~ Diploma Financial Services (Financial Planning) - Kaplan ~ Margin Lending - Kaplan ~ Self Managed Super Funds - Kaplan |
| Brandt Reece Piercy | 2000 | Advanced Diploma Financial Planning - Kaplan ~ Certificate in Financial Markets - FINSIA |
| Brant James Weir | 2009 | Bachelor of Finance - University of Adelaide ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Applied Finance - Kaplan |
| Chelsea Lauren Schar | 2016 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Commerce (Corporate Finance) - The University of Adelaide ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Applied Finance (Financial Planning) - Charles Sturt University |
| Craig Rothall | 2011 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Applied Finance - University of South Australia ~ Diploma of Financial Planning - Kaplan ~ Self Managed Super Funds - Kaplan |
| Darren Hocking | 2004 | Advanced Diploma Financial Services (Financial Planning) - Kaplan ~ Advanced Self Managed Super Funds Program - Kaplan ~ Bachelor of Management - University of South Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Margin Lending Accreditation Program - Financial Essentials Pty Ltd |
| David Geoffrey Mead | 2014 | Advanced Diploma in Financial Planning - Mentor Education ~ Bachelor of Arts in Accountancy - Univeristy of South Australia ~ Certificate in Margin Lending - Kaplan Professional Education ~ Diploma in Financial Planning - Mentor Education |
| David Stephen O'connell | 2000 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Evan Peter Hurse | 2008 | ASX Accredited Derivatives Adviser L1 - Kaplan ~ Advanced Diploma Financial Planning - Kaplan ~ Bachelor of Human Movement - Health Science - University of South Australia ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Judith Ruth Hughes | 2002 | Diploma of Financial Planning - Deakin University / FPA ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Karen Sowle | 2008 | Associate Diploma in Business - SAIT ~ Bachelor of Business - University of South Australia ~ CFP - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma in Financial Planning - FINSIA |
| Linda Austin | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Lisa Jones | 2007 | Advanced Diploma Financial Services (Financial Planning) - Kaplan |
| Luke Peter Swinburne | 2003 | Advanced Diploma Financial Planning - Kaplan ~ CFP - Financial Planning Association ~ Margin Lending Accreditation Program - Financial Essentials Pty Ltd ~ Self Managed Superannuation Funds - Kaplan |
| Luke William Chick | 2013 | Advanced Diploma - Mentor Education ~ Diploma - Financial Planning - Kaplan |
| Mark Shrimplin | 2002 | Advanced Diploma Financial Services (Financial Planning) - Tribeca ~ Ethics and Professionalism in Financial Planning - Kaplan ~ Fellow Chartered Financial Practitioner (FChFP) - Association of Financial Advisers (AFA) ~ Graduate Certificate in Financial Planning - Griffith University ~ Graduate Diploma of Financial Planning - Griffith University |
| Mataan Dunning | 2006 | Advanced Diploma Financial Services (Financial Planning) - Kaplan Professional ~ Advanced Diploma Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Applied Finance - University of South Australia ~ Bachelor of Applied Finance - University of South Australia ~ Bachelor of Commerce - University of South Australia ~ Bachelor of Commerce - University of South Australia ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education |
| Max Bruins | 2007 | Accredited Listed Product Adviser Program - Kaplan Professional Education ~ Advanced Diploma Of Financial Services - Mentor Education ~ Diploma Of Financial Services (Financial Planning) - Tribeca ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Paul Stewart Elliott Champion | 1998 | Advice in Practice (Aged Care) - Aged Care Steps ~ CFP - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending Accreditation Program - Financial Essentials Pty Ltd |
| Robert Rocco Daniele | 2018 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce (Accounting) - The University of Adelaide ~ Diploma of Financial Planning - Monarch Institute |
| Rosland Elizabeth Whitehead | 2011 | Bachelor of Arts - Rhodes University (South Africa) ~ Bachelor of Laws (LLB) - Rhodes University (South Africa) ~ Diploma of Financial Planning - Kaplan ~ Graduate Certificate in Financial Planning - University of the Orange Free State (South Africa) |
| Sally Louise Kolbig | 1999 | Advanced Diploma Financial Planning - Deakin University ~ Advice in Practice (Aged Care) / The Strategic Advice Steps for Aged Care - Aged Care Steps ~ Bachelor of Business - University of South Australia ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Sean Courtney Tanner | 2008 | Bachelor Degree - Management - University of South Australia ~ Diploma - Financial Planning - Kaplan |