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 |
|---|---|---|
| Adam Ben Lomsargis | 2005 | Diploma of Financial Services - Securities Institute ~ Industry Standard Education - RG146 specialist knowledge - Kaplan Professional |
| Amanda Marie Devlin | 2008 | Diploma of Financial Services (Financial Planning) - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ RG146 Self-managed Superannuation Funds - Financial Education Professionals |
| Anthony Wolfenden | 2016 | Advanced Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Borislav Barna | 2010 | Advanced Diploma of Financial Services (Financial Planning) - Mentor Education Group ~ Degree of MBA (Finance & Accounting - University of Liverpool ~ Ethics and Professionalism in Financial Advice - Kaplan ~ SMSF Specialist Adviser (SSA) - SMSF Association |
| Christopher Leishman | 2003 | Certified Financial Planner - FPA/Deakin University ~ Graduate Diploma in Financial Planning - Securities Institute ~ Margin Lending & Geared Investments - Kaplan ~ Specialist SMSF Course - Cavendish/University of Adelaide |
| David Gerard Dominic Pereira | 2010 | Bachelor of Commerce - Murdoch University ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Applied Finance - Kaplan Professional ~ Self Managed Super Funds - Monarch Institute |
| Fiona Mary Young | 2009 | Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy Pty Ltd |
| Gina Francis Benney | 2018 | Bachelor of Commerce (Marketing Management) - University of South Africa ~ Diploma of Financial Planning - Mentor Education ~ Graduate Diploma of Financial Planning - KAPLAN ~ Postgraduate Diploma in Financial Planning - University of the Free State |
| Kieran John Bowman Tapley | 2008 | Diploma of Financial Planning - Mentor Education ~ Self Managed Super Funds - Kaplan |
| Marc Schneider | 2010 | Bachelor of Business - Southern Cross University ~ Graduate Diploma of Financial Planning - Finsia ~ Self Managed Superannuation Funds - Kaplan |
| Marigold Juli Botton | 2014 | Bachelor of Business - University of Technology Sydney (UTS) ~ Graduate Diploma in Financial Planning - KAPLAN PROFESSIONAL |
| Michael William Sheridan | 1991 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Markets - Securities Institute ~ Diploma of Financial Planning - Financial Planning Association ~ SMSF RG146 Certification - SMSF Strategies |
| Patrick Michael Dodds | 2018 | Advanced Diploma of Financial Services - Monarch Institute ~ Diploma Financial Services - Monarch Institute ~ Self Managed Superannuation Funds - Kaplan Professional |
| Peter James Dugan | 2003 | Diploma of Financial Planning - Deakin University ~ Master of Business and Commerce - University of Western Sydney ~ SMSF Specialisation - Tribeca |
| Philip John Pote | 2000 | Diploma of Financial Planning - Deakin University ~ SMSF Specialist Accreditation - Kaplan |
| Scott James Thornton | 2005 | Certified Financial Planner Program - Financial Planning Association of Australia (FPA) ~ Diploma of Financial Planning - Deakin University |
| Simon Anthony Liddle | 2001 | ASX Listed Products Accreditation Course - Savings Factory & ASX ~ Diploma of Financial Planning - Financial Planning Association ~ Margin Lending 928S - Kaplan ~ SMSF Adviser Education Program - Financial Essentials |
| Vilma Pernini | 2007 | FASEA Exam - FASEA ~ Graduate Diploma of Financial Planning - FINSIA |