This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
margin lending facilities limited to standard facilities to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
margin lending facilities limited to standard facilities to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam John Mccann | 1993 | 1997 - Certified Financial Planner - - Financial Planning Association of Australia ~ 1997 - Diploma of Financial Planning - - Deakin University ~ 2003 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2008 - ASX Listed Product Accreditation Course - - Kaplan Professional Education ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Ltd |
| Adam Sullivan | 2018 | 2009 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Flinders University ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2022 - SMSF Regulations and Taxation - Other - Kaplan Professional ~ 2025 - Commercial Law - Other - Kaplan Professional ~ 2025 - Tax for Financial Advising - Other - Kaplan Professional |
| Adrian Luke Guarino | 2014 | 2007 - Bachelor of Commerce (Finance and Financial Planning) - Bachelor Degree (AQF 7) - Deakin University ~ 2014 - Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Accredited Listed Product Adviser - - Kaplan Professional Education ~ 2018 - SMSF Specialist Advisor Program (SSA) - - SMSF Association ~ 2024 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Chris Zucker | 2011 | 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2018 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2020 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Higher Education Pty Limited ~ 2022 - SMSF Regulations and Taxation - Other - Kaplan Professional ~ 2025 - Commercial Law - Other - Kaplan Professional ~ 2025 - Tax for Financial Advising - Other - Kaplan Professional |
| David Julian DE Angelis | 2024 | 2014 - Foundations of Business Law - Other - University of South Australia ~ 2017 - Bachelor of Applied Finanace - Bachelor Degree (AQF 7) - University of South Australia ~ 2017 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of South Australia ~ 2020 - UO Taxation - Other - University of South Australia ~ 2021 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of South Australia ~ 2025 - SMSF Specialist Advisor Program (SSA) - Professional Designations - SMSF Association |
| Teagan Louise Loveridge | 2025 | 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |