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 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Finance) - Queensland University of Technology (QUT) ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd |
| Adam Lee Thomas O'connor | 2017 | Bachelor of Commerce - Deakin University ~ Diploma of Financial Planning - Monarch Institute ~ Graduate Diploma of Business (Accounting) - University of Southern Queensland |
| Bruce Jason Smith | 2012 | Diploma of Financial Services (Financial Planning) - RG 146 Training Australia |
| Bruce William Ibbotson | 2008 | Certificate IV Financial Services (Finance/Mortgage Broking) - Finance & Related Services Training Academy (FARSTA) ~ Diploma of Finance and Mortgage Broking Management - Finance & Related Services Training Academy (FARSTA) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Callum Joseph Glasby | 2007 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Advanced Diploma Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce (Finance) - University of Southern Queensland ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Super Funds - Kaplan Professional |
| Christopher Murray Robertson | 2018 | Bachelor of Business (Financial Planning) - University of the Sunshine Coast ~ Cert IV in Finance (Mortgage Broking) - Intellitrain |
| Corey Jay Stamp | 2017 | Diploma of Financial Planning - Monarch Institute ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Danielle Coventry | 2003 | Advanced Diploma of Financial Planning (Financial Services) - Kaplan ~ Diploma of Financial Planning (Financial Services) - Tribeca ~ Graduate Diploma of Financial Planning - Kaplan ~ Self Managed Super Fund (SMSF) - Kaplan |
| Gary Wayne Larner | 1985 | Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Gihan Ramesh Anthony | 2014 | Advanced Diploma of Financial Services - Mentor Education ~ Diploma of Financial Services - International Institute of Technology ~ Master of Business Administration - University of Southern Queensland ~ Post Graduate Diploma in Marketing - The Chartered Institute of Marketing ~ Self Managed Superannuation Funds - Mentor Education |
| Hanwedige Muditha Peiris | 2009 | Diploma of Financial Planning FNS50804 - International Institute of Technology |
| John Grohovaz | 2012 | Accredited Listed Product Adviser Program - Kaplan ~ Diploma of Financial Services (Financial Planning) - Investment Banking Institute |
| Karen Jane Thompson | 2005 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional |
| Keith Desmond Marshall | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - Intellitrain ~ Diploma of Financial Services (Financial Planning) - Mentor Eductation |
| Kelly Ann Roche | 2011 | Bachelor of Economics - University of London ~ Graduate Diploma of Financial Planning - Securities Institute |
| Kenneth John Filbey | 1991 | DFP 2 & 4 - FPA ~ Diploma of Financial Planning - PS146 Training Australia ~ Entry level Competencies for financial services professional - Integratec ~ Investment Planning 1 - Integratec ~ Taxation Planning - Mentor RG 146 |
| Kristofer Konrad Sewell | 2018 | Diploma of Financial Planning - Mentor Eductation |
| Matthew Prentice | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Banking and Finance) - Queensland University of Technology ~ Margin Lending - Kaplan Professional |
| Michael Antoni O Connor | 2018 | Diploma of Financial Planning - Kaplan |
| Michael Gregory Ord | 2002 | Diploma of Financial Services (Financial Planning) - Tribeca ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Self Managed Super Funds (ANZ Workshop) - Kaplan |
| Paul John Farrelly | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Bachelor of Arts (Social Sciences) - Monash University ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Super Funds - Financial Essentials |
| Pei-chun Helen Lee | 2017 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Master of Business Administration - Central Queensland University ~ Master of Information Systems - Central Queensland University |
| Rachael Anne Yurko | 2009 | Ethics and Professionalism in Financial Advice - Kaplan ~ Life Insurance - Mentor Education ~ Superannuation and Retirement Planning - Kaplan |
| Richard Michael Hill | 2001 | Certificate in Applied Self Managed Super Fund Advice - TOWER Trust ~ Introduction to Financial Planning - FPA ~ Investment Planning 2 and Estate Planning - Tribeca ~ Risk Management and Insurance Planning and Investment Planning 1 - FPA ~ Superannuation and Retirement Planning - Integratec |
| Stevin Carvalho | 2008 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Commerce (Financial Accounting and Auditing) - University of Mumbai (India) ~ Diploma of Financial Services - Investment Banking Institute ~ Self Managed Superannuation Fund Adviser ( Personal Advice) - Mentor Education |
| Theodore Crane | 2018 | Graduate Certifcate in Finance - Charles Sturt University ~ Graduate Diploma of Financial Planning - Charles Sturt University |
| Thomas Alexander Wade | 2016 | Diploma of Financial Planning - Kaplan |
| Travis Lecornu | 2000 | Diploma of Financial Advising - Securities Institute of Australia |
| Yun Sun | 2011 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy ~ CFP Certification Program - FPA ~ CFP Certification Program - FPA ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Diploma of Financial Services (Financial Planning) - Mentor Education ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Self-Managed Superannuation Funds - Pinnacle Financial Services Academy ~ Self-Managed Superannuation Funds - Pinnacle Financial Services Academy |