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 |
|---|---|---|
| Anthony James Webb | 2004 | Advanced Diploma of Financial Planning - Kaplan ~ Diploma of Finance and Mortgage Broking Management - AAMC Training Group ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Catherine Corr | 2011 | Advanced Diploma - Financial Planning - Kaplan ~ Diploma Financial Services (Financial Planning) - Kaplan Professional ~ FChfp - AFA ~ RG146 Margin Lending - GWM Adviser Services |
| Christopher John Yena | 1990 | CFP - Diploma of Financial Planning - Deakin University |
| Daniel Morris Lemish | 2008 | Advanced Diploma Financial Planning FNS60415 - Kaplan Professional ~ Diploma - Financial Planning - Kaplan Professional ~ Finance & Mortgage Broking - Kaplan Professional |
| David Tysoe | 2011 | Advanced Diploma of Accounting - Northern Sydney Institute ~ Advanced Diploma of Financial Planning - Pinnacle ~ Bachelor of Business (Finance) - UTS ~ Diploma of Finance and Mortgage Broking Management - Kaplan ~ SMSF Course - Pinnacle |
| Gabriel Fernandes | 2001 | Diploma of Financial Planning - Deakin University / FPA ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professsional |
| Jason Rosewarne | 2004 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business (Finance) - Edith Cowan University (ECU) ~ Certificate IV Financial Services (Finance/Mortgage Broking) - Tribeca ~ Margin Lending and Geared Investments - Kaplan Professional |
| John Lai | 2010 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Laws - University of New South Wales ~ Master of Business Administration (Executive) - University of New South Wales ~ Master of Laws - University of Sydney ~ SMSF specialist Course - SuperConcepts |
| Ling Feng | 2016 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Commerce - Macquarie University ~ Diploma of Finance & Mortgage Broking Management - Kaplan Professional ~ Securities and Managed Investments - Deakin Prime |
| Matthew Carter | 2002 | Bachelor of Economics - University of New England ~ Diploma of Financial Planning - Kaplan ~ Graduate Diploma in Management - AGSM ~ SMSF - Kaplan |
| Nicholas James Perkins | 2001 | Advanced Diploma Financial Planning - AAMC Training Group ~ Diploma of Financial Services (Finance/Mortgage Broking Management - The National Financial Institute ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ SMSF - Kaplan |
| Terry Paris | 2012 | Bachelor of Theology - Sydney College of Divinity ~ FNS50804 Diploma of Financial Services (Financial Planning) - Trainee Management Australia ~ FNS60410 Advanced Diploma of Financial Planning - Kaplan Professional Education ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional |