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 | Certificate IV in Business - TAFE NSW ~ Diploma of Finance and Mortgage Broking Management - TAFE NSW ~ Graduate Certificate of Applied Finance - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Introduction to Self-Managed Superannuation Funds - Kaplan Professional |
| Alexander Michael Herbert | 2021 | Bachelor of Business - University of Queensland ~ Ethics & Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Bradley Clyde Ferguson | 2002 | Bachelor of Business - University of Newcastle ~ Diploma of Financial Services (Financial Planning) - Kaplan/Integratec |
| James Packman | 2008 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Bachelor of Commerce and Economics - Macquarie University ~ Diploma of Financial Planning - Kaplan Professional Education ~ Margin Lending and Geared Investments - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Jean Patrick Stephane Marianne | 2008 | Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy Pty Ltd ~ Bachelor of Business (Applied Finance) - University of Western Sydney ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Margin Lending Specialist - Kaplan Professional |
| Josef Stadler | 2001 | Advanced Diploma of Financial Services (FinancialPlanning) - Kaplan Professional ~ Diploma of Financial Planning - Integratec (Australia) Pty Ltd ~ Margin Lending & Geared Investments - Kaplan Professional |
| Matthew Terrence Schuberth | 2023 | Certificate of Attainment RG146 Generic Knowledge - Financial Education Professionals ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ RG146 Margin Lending - Financial Education Professionals ~ Self-Managed Super Fund Accreditation - Super Concepts & ICFS SMSF Specialist |
| Michael Marino | 2014 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Diploma of Financial Services (Financial Planning) - TAFE NSW - Sydney Institute ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Morris Alexander | 2022 | Bachelor of Business & Commerce - University of Western Sydney ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional ~ SMSF Regulations and Taxation - Kaplan Professional |
| Rachel Lee Donovan | 2014 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology (IIT) |
| Scott Ward | 2007 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce - University of New England ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Planning - Three Sixty ~ Super Concepts Specialist SMSF Accedititation - University of Adelaide |
| Thomas Harg | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Economics - University of Queensland ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Timothy Hannes | 2013 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Cert IV in Finance & Mortgage Broking - Kaplan ~ Diploma of Financial Planning (Financial Services) - Pinacle Financial Services Academy ~ Professional Certificate in Self Managed Superannuation Funds - University of Adelaide ~ Tier 1 Securities - Personal Advice - Kaplan |
| Trent Balderston | 2013 | Bachelor of Business (Financial Management) - University of New England ~ Diploma of Financial Planning - Kaplan Professional ~ FPA Aged Care Specialist - Financial Planning Association ~ SuperConcepts SMSF Specialist - University of Adelaide |