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 |
|---|---|---|
| Amanda Marie Devlin | 2008 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2020 - RG146 Self-managed Superannuation Funds - Professional Designations - Financial Education Professionals ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Anthony Wolfenden | 2016 | 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2018 - Self Managed Superannuation Funds - - Kaplan |
| Borislav Barna | 2010 | 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Mentor Education Group ~ 2013 - Degree of MBA (Finance & Accounting - Masters Degree (AQF 9) - University of Liverpool ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2019 - SMSF Specialist Adviser (SSA) - Graduate Certificate (AQF 8) - SMSF Association |
| Christopher Leishman | 2003 | 2002 - Certified Financial Planner - - FPA/Deakin University ~ 2002 - Graduate Diploma in Financial Planning - - Securities Institute ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2015 - Specialist SMSF Course - - Cavendish/University of Adelaide |
| Dean Andrew Baguley | 2001 | 2003 - Diploma Financial Advising - Diploma (AQF 5) - Securities Institute ~ 2004 - Investment Planning 1 - Diploma (AQF 5) - Tribeca ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Hong Kin Timothy Leung | 2018 | 2014 - Bachelor of Business (Accounting & Finance) - - University of Technology Sydney ~ 2016 - BAS Agent Registration Skill Set - - Open College ~ 2018 - Graduate Diploma of Applied Tax Law - - The Tax Institute ~ 2018 - IPA Program Stage 1 - - Institute of Public Accountants ~ 2018 - RG146- Super, SMSF & Deposit Products Package - - Financial Education Professionals |
| Marc Schneider | 2010 | 2003 - Bachelor of Business - - Southern Cross University ~ 2006 - Graduate Diploma of Financial Planning - - Finsia ~ 2007 - Self Managed Superannuation Funds - - Kaplan |
| Marigold Juli Botton | 2014 | 2012 - Bachelor of Business - - University of Technology Sydney (UTS) ~ 2021 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - KAPLAN PROFESSIONAL |
| Michael William Sheridan | 1991 | 1997 - Certified Financial Planner - - Financial Planning Association ~ 1997 - Diploma of Financial Planning - - Financial Planning Association ~ 2001 - Diploma of Financial Markets - - Securities Institute ~ 2007 - SMSF RG146 Certification - - SMSF Strategies |
| Peter James Dugan | 2003 | 2002 - Diploma of Financial Planning - - Deakin University ~ 2004 - SMSF Specialisation - - Tribeca ~ 2015 - Master of Business and Commerce - - University of Western Sydney |
| Philip John Pote | 2000 | 2000 - Diploma of Financial Planning - - Deakin University ~ 2007 - SMSF Specialist Accreditation - - Kaplan |
| Ruchir Gulati | 2017 | 2004 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Kurukshetra University ~ 2007 - Master of Business - Masters Degree (AQF 9) - Victoria University ~ 2017 - Diploma of Financial Planning FNS50615 - - Mentor Education |
| Scott James Thornton | 2005 | 2005 - Diploma of Financial Planning - - Deakin University ~ 2009 - Certified Financial Planner Program - - Financial Planning Association of Australia (FPA) |
| Simon Anthony Liddle | 2001 | 2001 - Diploma of Financial Planning - - Financial Planning Association ~ 2007 - ASX Listed Products Accreditation Course - - Savings Factory & ASX ~ 2007 - SMSF Adviser Education Program - - Financial Essentials ~ 2013 - Margin Lending 928S - - Kaplan |
| Steven James Costall | 2000 | 2007 - Certified Financial Planner - - FPA ~ 2007 - Securities - - FPA ~ 2007 - Self Managed Super Fund Course - - Tribeca ~ 2010 - Fellow Charter Financial Practitioner - - Mentor Educational Group |