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;
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);
from 1 July 2022, securities in a CCIV; 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;
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);
from 1 July 2022, securities in a CCIV; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam Farrell | 2014 | 2012 - Bachelor of Business (Finance) - - Queensland University of Technology (QUT) ~ 2015 - Diploma of Financial Planning - - Pinnacle Financial Services Academy Pty Ltd ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Adam Lee Thomas O'connor | 2017 | 2012 - Bachelor of Commerce - - Deakin University ~ 2014 - Graduate Diploma of Business (Accounting) - - University of Southern Queensland ~ 2017 - Diploma of Financial Planning - - Monarch Institute |
| Brent Raverty | 2011 | 2009 - Bachelor Degree - Business - - Queensland University of Technology ~ 2011 - Diploma - Financial Planning - - Kaplan Professional ~ 2013 - Advanced Diploma - Financial Planning - - Kaplan Professional |
| Bruce Jason Smith | 2012 | 2010 - Diploma of Financial Services (Financial Planning) - - RG 146 Training Australia |
| Bruce William Ibbotson | 2008 | 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2009 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Finance & Related Services Training Academy (FARSTA) ~ 2013 - Diploma of Finance and Mortgage Broking Management - - Finance & Related Services Training Academy (FARSTA) |
| Christopher Murray Robertson | 2018 | 2008 - Bachelor of Business (Financial Planning) - - University of the Sunshine Coast ~ 2012 - Cert IV in Finance (Mortgage Broking) - - Intellitrain |
| Corey Jay Stamp | 2017 | 2016 - Diploma of Financial Planning - - Monarch Institute ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Danielle Coventry | 2003 | 2006 - Diploma of Financial Planning (Financial Services) - - Tribeca ~ 2012 - Advanced Diploma of Financial Planning (Financial Services) - - Kaplan ~ 2015 - Self Managed Super Fund (SMSF) - - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Darren Edmond Limbach | 2012 | 2014 - Bachelor of Commerce Financial Planning - - Griffith University ~ 2017 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2022 - Margin Lending Specialist - Other - Kaplan |
| Gary Wayne Larner | 1985 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Gihan Ramesh Anthony | 2014 | 2006 - Post Graduate Diploma in Marketing - - The Chartered Institute of Marketing ~ 2008 - Master of Business Administration - - University of Southern Queensland ~ 2011 - Diploma of Financial Services - - International Institute of Technology ~ 2014 - Advanced Diploma of Financial Services - - Mentor Education ~ 2014 - Self Managed Superannuation Funds - - Mentor Education |
| Hanwedige Muditha Peiris | 2009 | 2010 - Diploma of Financial Planning FNS50804 - - International Institute of Technology |
| John Grohovaz | 2012 | 2012 - Diploma of Financial Services (Financial Planning) - - Investment Banking Institute ~ 2016 - Accredited Listed Product Adviser Program - - Kaplan |
| Karen Jane Thompson | 2005 | 2008 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2008 - Diploma of Financial Planning - - Kaplan Professional ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional ~ 2019 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Keith Desmond Marshall | 2005 | 2006 - Diploma of Financial Services (Financial Planning) - - Mentor Eductation ~ 2012 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - Intellitrain ~ 2014 - Advanced Diploma of Financial Services (Financial Planning) - - Mentor Education |
| Kelly Ann Roche | 2011 | 1991 - Bachelor of Economics - - University of London ~ 2005 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Securities Institute |
| Kenneth John Filbey | 1991 | 1997 - Entry level Competencies for financial services professional - - Integratec ~ 2001 - DFP 2 & 4 - - FPA ~ 2002 - Investment Planning 1 - - Integratec ~ 2008 - Diploma of Financial Planning - - PS146 Training Australia ~ 2010 - Taxation Planning - - Mentor RG 146 |
| Louise Elaine Agnew | 2008 | 2006 - Diploma of Financial Services - Diploma (AQF 5) - Mentoe ~ 2007 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy Pty Ltd ~ 2021 - Superconcepts & ICFS Specialist SMSF course - Other - The University of Adelaide |
| Matthew Prentice | 2012 | 2011 - Bachelor of Business (Banking and Finance) - - Queensland University of Technology ~ 2012 - Margin Lending - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Michael Antoni O Connor | 2018 | 2018 - Diploma of Financial Planning - - Kaplan |
| Michael Gregory Ord | 2002 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2007 - Self Managed Super Funds (ANZ Workshop) - - Kaplan ~ 2021 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Noel Francis Pickett | 1995 | 2008 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Paul John Farrelly | 2005 | 1994 - Bachelor of Arts (Social Sciences) - Bachelor Degree (AQF 7) - Monash University ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2008 - Self Managed Super Funds - Other - Financial Essentials ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional |
| Pei-chun Helen Lee | 2017 | 2000 - Master of Business Administration - - Central Queensland University ~ 2002 - Master of Information Systems - - Central Queensland University ~ 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Richard Michael Hill | 2001 | 2001 - Introduction to Financial Planning - - FPA ~ 2001 - Superannuation and Retirement Planning - - Integratec ~ 2002 - Risk Management and Insurance Planning and Investment Planning 1 - - FPA ~ 2004 - Certificate in Applied Self Managed Super Fund Advice - - TOWER Trust ~ 2004 - Investment Planning 2 and Estate Planning - - Tribeca |
| Robert John Schiliro | 2004 | 2001 - Diploma of Financial Planning DFP 1 - 5 - - Financial Planning Association ~ 2010 - Margin Lending and Geared Investments - - Kaplan |
| Stevin Carvalho | 2008 | 1998 - Bachelor of Commerce (Financial Accounting and Auditing) - - University of Mumbai (India) ~ 2010 - Diploma of Financial Services - - Investment Banking Institute ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2016 - Self Managed Superannuation Fund Adviser ( Personal Advice) - - Mentor Education |
| Tammy Anne Strong | 2003 | 2017 - Diploma of Financial Planning - - International Institute of Technology ~ 2018 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2021 - Aged Care - Other - Kaplan |
| Thomas Alexander Wade | 2016 | 2015 - Diploma of Financial Planning - - Kaplan |
| Travis Lecornu | 2000 | 2002 - Diploma of Financial Advising - - Securities Institute of Australia |
| William Charles Powis | 2021 | 2016 - Certificate 3 in Financial Services - Certificate (AQF 1-4) - New South Wales Technical & Further Education Commission Australia ~ 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - SuperConcepts & ICFS Specialist SMSF Course - Other - SuperConcepts |
| Yun Sun | 2011 | 2008 - Diploma of Financial Services (Financial Planning) - - Mentor Education ~ 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education ~ 2014 - Advanced Diploma of Financial Planning - - Pinnacle Financial Services Academy ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle Financial Services Academy ~ 2015 - Self-Managed Superannuation Funds - - Pinnacle Financial Services Academy ~ 2015 - Self-Managed Superannuation Funds - Other - Pinnacle Financial Services Academy ~ 2017 - CFP Certification Program - - FPA ~ 2017 - CFP Certification Program - Other - FPA ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |