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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Antoinette Cornelia Mullins | 2007 | Advanced Diploma - Financial Planning - Adviser Campus ~ Bachelor Degree - Social Work & Youthwork - University of South Africa ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Certificate IV in Finance and Mortgage Broking - AAMC Training Group |
| GE Sang | 2014 | Advanced Diploma of Financial Planning - Kaplan ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Margin Lending - Kaplan ~ Master of Professional Accounting/Commerce - Deakin University |
| Jason Tay | 2006 | Bachelor of Commerce - The Flinders University of South Australia ~ Bachelor of Science - The Flinders University of South Australia ~ Diploma of Financial Services (Financial Planning) - Mentor Asset Management Pty Limited ~ Graduate Certificate in Financial Planning - FINSIA |
| Lyall Douglas Jones | 2003 | Generic Financial Planning - CPA ~ Managed Investments - Tribeca ~ Margin Lending and Geared Investments - Kaplan ~ Risk Management - Kaplan ~ Self Managed Super Fund Course - kaplan |
| Marc Andrew Evans | 2003 | Bachelor of Arts in Accountancy - South Australian Institute of Technology ~ FPC002B Ethics and Professionalism in Financial Advice. - Kaplan Higher Education ~ Personal Financial Planning and Superannuation - CPA Australia |
| Mari Nguyen | 2007 | Advanced Diploma of Financial Planning FNS60404 - Mentor Education group ~ Diploma of Financial Planning FNS50804 - Mentor Education group |
| Mark Tyminski | 1996 | Accredited Aged Care Professional - Aged Care Steps ~ Certified Financial Planner Program - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Deakin University ~ Professional Certificate in Self-Managed Superannuation - The University of Adelaide ~ SMSF Specialist Advisor (SSA) Accreditation - SMSF Association |
| Steven James Wood | 2007 | Diploma of Financial Services (Financial Planning) - Tribeca |
| Steven Schofield | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional Education ~ Diploma of Financial Planning - Kaplan Professional Education ~ FPC006 Tax and Commercial Law for Financial Planning - Kaplan Professional Education ~ Graduate Certificate in Financial Planning - Charles Sturt University ~ IFS Specialist SMSF Course - SuperConcepts |
| Tanya Oddo | 2005 | Bachelor of Arts-Bachelor of Commerce - University of Wollongong ~ Diploma of Financial Planning (DFP 1-8) - Financial Planning Association (FPA) ~ RG146 Provide Advice in Margin Lending - MLC ThreeSixty |
| Warren Adam Halfpenny | 2018 | Diploma of Financial Planning - Financial Planning Association of Australia ~ FPC001B Economic & Legal Context for Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Financial Services (Financial Planning) - Commonwealth Bank of Australia |