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 Nash | 1998 | 2003 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA/Deakin University ~ 2010 - Certified Financial Planner - Professional Designations - FPA/Deakin University ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Anthony James Webb | 2004 | 2018 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - AAMC Training Group ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Catherine Corr | 2011 | 2008 - Diploma Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - RG146 Margin Lending - - GWM Adviser Services ~ 2012 - Advanced Diploma - Financial Planning - - Kaplan ~ 2017 - FChfp - - AFA ~ 2024 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps |
| Christopher John Yena | 1990 | 2000 - CFP - Diploma of Financial Planning - - Deakin University |
| Daniel Morris Lemish | 2008 | 2010 - Diploma - Financial Planning - - Kaplan Professional ~ 2016 - Advanced Diploma Financial Planning FNS60415 - - Kaplan Professional ~ 2019 - Finance & Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional |
| David Tysoe | 2011 | 2005 - Advanced Diploma of Accounting - Advanced Diploma (AQF 6) - Northern Sydney Institute ~ 2009 - Bachelor of Business (Finance) - - UTS ~ 2014 - Advanced Diploma of Financial Planning - - Pinnacle ~ 2014 - SMSF Course - - Pinnacle ~ 2019 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - Kaplan |
| Gabriel Fernandes | 2001 | 2004 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University / FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - Self Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professsional |
| Jackson Tidswell | 2018 | 2017 - Bachelor of Commerce (Economics) - - University of Wollongong ~ 2018 - RG 146 Course - - Terra Cordis ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jason Rosewarne | 2004 | 2005 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Tribeca ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Bachelor of Business (Finance) - - Edith Cowan University (ECU) |
| John Lai | 2010 | 2004 - Bachelor of Laws - - University of New South Wales ~ 2007 - Master of Laws - - University of Sydney ~ 2015 - Master of Business Administration (Executive) - - University of New South Wales ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2023 - SMSF specialist Course - Other - SuperConcepts ~ 2024 - Accredited Aged Care Professional - Other - Aged Care Steps Pty Ltd |
| Krisztian Pilisko | 0 | 2021 - Graduate Diploma Financial Planning - Graduate Certificate (AQF 8) - Deakin ~ 2024 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - Kaplan Professional |
| Ling Feng | 2016 | 2014 - Bachelor of Commerce - - Macquarie University ~ 2014 - Securities and Managed Investments - - Deakin Prime ~ 2017 - Diploma of Finance & Mortgage Broking Management - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Matthew Carter | 2002 | 1995 - Bachelor of Economics - - University of New England ~ 2001 - Diploma of Financial Planning - - Kaplan ~ 2001 - Graduate Diploma in Management - - AGSM ~ 2004 - SMSF - - Kaplan |
| Michelle Lee Oswald | 2018 | 2001 - Bachelor of Commerce - - University of Wollongong ~ 2003 - CPA Program - - CPA Australia ~ 2005 - Graduate Certificate in Financial Planning - - Securities Institute |
| Nicholas James Perkins | 2001 | 2004 - SMSF - - Kaplan ~ 2011 - Diploma of Financial Services (Finance/Mortgage Broking Management - Diploma (AQF 5) - The National Financial Institute ~ 2019 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - AAMC Training Group ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Terry Paris | 2012 | 1991 - Bachelor of Theology - Bachelor Degree (AQF 7) - Sydney College of Divinity ~ 2012 - FNS50804 Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Trainee Management Australia ~ 2014 - FNS60410 Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Todd Burnell | 2000 | 2004 - Advanced Diploma Financial Services (Financial Planning) FNB60402 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2008 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2014 - Diploma Financial Planning FNS50611 - Diploma (AQF 5) - Kaplan Australia ~ 2023 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan Australia |