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;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| Adrian Stephen O'brien | 2022 | 2015 - Certificate IV in Business - Certificate (AQF 1-4) - TAFE NSW ~ 2017 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - TAFE NSW ~ 2019 - Graduate Certificate of Applied Finance - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Introduction to Self-Managed Superannuation Funds - Other - Kaplan Professional |
| Alexander Michael Herbert | 2021 | 2009 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Queensland ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - SMSF Specialist Advisor - Professional Designations - SMSF Association |
| Bradley Clyde Ferguson | 2002 | 2002 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Newcastle ~ 2004 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan/Integratec |
| Christine Hua | 2024 | 2016 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Crystal Mcgilvray | 2024 | 2020 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| James Packman | 2008 | 2001 - Bachelor of Commerce and Economics - - Macquarie University ~ 2008 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2012 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Josef Stadler | 2001 | 2003 - Diploma of Financial Planning - Diploma (AQF 5) - Integratec (Australia) Pty Ltd ~ 2006 - Advanced Diploma of Financial Services (FinancialPlanning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2008 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2011 - SMSF Specialist - Professional Designations - SMSF Specialist Association ~ 2012 - Accredited Estate Planning Strategist - Professional Designations - Financial Planning Association |
| Matthew Terrence Schuberth | 2023 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Certificate of Attainment RG146 Generic Knowledge - Other - Financial Education Professionals ~ 2023 - RG146 Margin Lending - Other - Financial Education Professionals ~ 2023 - Self-Managed Super Fund Accreditation - Other - Super Concepts & ICFS SMSF Specialist |
| Michael Carlton | 1991 | 2002 - Diploma Financial Planning - - Financial Planning Association ~ 2004 - SMSF - - Tribeca Learning Australia ~ 2010 - AO - Margin Lending and Geared Investments - - Kaplan Professional ~ 2012 - Limited Recourse Borrowing Advice Accreditation - - DBA Bulters Lawyers - Crowe Horwath Australia |
| Morris Alexander | 2022 | 2013 - Bachelor of Business & Commerce - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - SMSF Regulations and Taxation - Other - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Rachel Lee Donovan | 2014 | 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - International Institute of Technology (IIT) ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education |
| Scott Ward | 2007 | 1999 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of New England ~ 2007 - Diploma of Financial Planning - Diploma (AQF 5) - Three Sixty ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2012 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2022 - Super Concepts Specialist SMSF Accedititation - Other - University of Adelaide |
| Thomas Harg | 2014 | 2011 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Queensland ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2014 - Margin Lending & Geared Investments - Other - Kaplan Professional ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Timothy Hannes | 2013 | 2010 - Diploma of Financial Planning (Financial Services) - Diploma (AQF 5) - Pinacle Financial Services Academy ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2014 - Cert IV in Finance & Mortgage Broking - - Kaplan ~ 2015 - Professional Certificate in Self Managed Superannuation Funds - - University of Adelaide ~ 2018 - Tier 1 Securities - Personal Advice - - Kaplan |
| Trent Balderston | 2013 | 2012 - Bachelor of Business (Financial Management) - Bachelor Degree (AQF 7) - University of New England ~ 2013 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - FPA Aged Care Specialist - Professional Designations - Financial Planning Association ~ 2021 - SuperConcepts SMSF Specialist - Professional Designations - University of Adelaide |