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);
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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);
securities; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron Kelleher-jones | 2005 | 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2006 - Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2011 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - Advanced Self Managed Super Funds Program - - Kaplan |
| Adam John Gale | 2018 | 2012 - Diploma of Financial Services (Finance/Mortgage Broking Management) - - AAMC ~ 2017 - Diploma of Financial Planning - - Kaplan |
| Amanda Thompson | 2000 | 2001 - The Count Introductory Training Course - - Count Wealth Accountants ~ 2002 - Diploma of Financial Advising - - Securities Institute ~ 2005 - SMSF - - Tribeca ~ 2007 - Advanced Diploma of Financial Planning - - Finsia |
| Anders Mckenzie Huitfeldt | 1992 | 2002 - Diploma of Financial Services - - NIBA ~ 2014 - Diploma of Financial Planning - - Kaplan Professional |
| Andre Dirckze | 2002 | 2002 - Investment Planning 1 - - Integratec ~ 2002 - Superannuation & Retirement Planning - - Integratec ~ 2005 - Diploma of Financial Services - - Kaplan Education Pty Limited ~ 2012 - ADEP - Estate Planning - - Pinnacle |
| Anthony Grant Sandercock | 1987 | 1997 - CFP Certification Global excellence in financial planning - - FPA ~ 2002 - Graduate Diploma in Personal Financial Planning - - University of Southern Queensland ~ 2003 - Master of Personal Financial Planning - - University of Southern Queensland ~ 2010 - Margin Lending and Geared Investments - - Kaplan Professional |
| Anthony James Raikes | 2013 | 1990 - Bachelor of Business (Accounting) - - Deakin University ~ 1999 - Graduate Certificate in Management - - Monash University ~ 2005 - Certificate IV in Small Business Management (NEIS Program) - - Box Hill Institute ~ 2013 - Diploma in Financial Planning - - Kaplan Professional |
| Christopher William Mullan | 2002 | 2014 - Diploma of Financial Planning - - Kaplan Professional |
| Gerald Antoine Balancy | 2006 | 2006 - Diploma of Financial Services (Financial Planning) - - Trainee Management Australia Pty Ltd ~ 2012 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - The National Finance Institute ~ 2016 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education |
| Ian William Dale | 2004 | 2001 - Risk Management - - Integratec ~ 2003 - Diploma of Financial Services (Financial Planning) - - Financial Services Training and Assessment Pty Ltd ~ 2016 - Diploma of Financial Planning - - Mentor ~ 2017 - DFP5v2 Tax for Financial Advising - - Kaplan ~ 2017 - Estate Planning - - Kaplan |
| Jason Ian Nairn | 2011 | 2006 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2009 - Advanced Texation Planning - - Pinnacle Financial Service Academy ~ 2009 - Estate Planning, Practice Management & Marketing - - Pinnacle Financial Services Academy ~ 2013 - Advance Diploma of Financial Planning - - Pinnacle Financial Services Academy ~ 2013 - SMSF Accreditation - - Pinnacle Financial Services Academy |
| Jeevan Intherarasa | 2006 | 2002 - Bachelor of Business - - Victoria University ~ 2008 - Diploma Financial Services (Financial Planning) - - PS146/RG146 Training ~ 2008 - Master of Finance - - RMIT ~ 2010 - Margin Lending and Geared Investments - - Kaplan Education ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education |
| John Francis Nugent | 2017 | 1984 - Bachelor of Business - - Victoria College ~ 2016 - Diploma of Financial Planning - - Kaplan Professional |
| John Myles Parker | 1985 | 2005 - Diploma of Financial Services (Financial Planning) - - Tribeca |
| Jun Keat Tan | 2011 | 2003 - Bachelor of Commerce - - Deakin University ~ 2018 - TASA and the TPB Code of Professional Conduct - - Kaplan Professional |
| Michael John Wilson | 1989 | 1998 - Diploma of Financial Planning - - Financial Planning Association of Australia (FPA) |
| Peter Ian Kinross | 1988 | 2001 - Diploma Financial Services - - Deakin ~ 2001 - Financial Services Essential - - Deakin ~ 2004 - Advance Diploma Financial Services - - Deakin |
| Peter Morrison-dowd | 1984 | 2010 - Diploma of Financial Services (Financial Planning) - - Mentor Education Group |
| Robert William Phillips | 2012 | 2010 - Masters Degree - Business - - Adelaide University ~ 2011 - Graduate Diploma - business - - Adelaide university ~ 2011 - Professional Certificate in SMSF - Other - Adelaide University ~ 2017 - TASA and the TPB Code of Professional Conduct - - KAPLAN |
| Roland Badia Nkanka | 2009 | 1996 - Bachelor of Commerce - - Curtin University ~ 2009 - Diploma of Financial Services (Financial Planning) - - AAMC Training Group ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2015 - Self Managed Superannuation Funds - - Kaplan |
| Sajal Gupta | 2012 | 2011 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Intellitrain Pty Ltd ~ 2011 - Diploma of Financial Services (Financial Planning) - - Investment Banking Institute (IBI) |
| Sean Duane Gallagher | 2004 | 2000 - Series 7 - - US Securities & Exchange Commission ~ 2010 - Professional Diploma in Stockbroking - Diploma (AQF 5) - DeakinPrime ~ 2013 - 924 Superannuation & Skills - Certificate (AQF 1-4) - Kaplan ~ 2020 - Ethics and Professional Relationships - Bridging Course - Ethics - QUT |
| Sean Phillip Robbie | 1999 | 2001 - Generic Financial Planning - - FPA ~ 2001 - Managed Investments - - FPA ~ 2001 - Risk Management - - FPA ~ 2001 - Superannuation and Retirement Planning - - Integratec ~ 2010 - Margin Lending - - Kaplan |
| Thor-bjorn Mcdowell | 2011 | 2011 - Diploma of Financial Planning - - Pinnacle ~ 2012 - SMSF Accredited Specialist - - Kaplan |
| Vaughan Franks | 2003 | 2003 - Advanced Diploma of Financial Planning - - Integratec ~ 2003 - Diploma of Financial Planning - - Integratec ~ 2014 - ASX Listed Products Accreditation Course (LPAC) - Certificate (AQF 1-4) - LPACOnline ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Yanjie Chen | 0 | 2019 - Bachelor of Economics with Major in International Trade and Finance - Bachelor Degree (AQF 7) - The University of Queensland ~ 2021 - Master of Business Information Technology - Masters Degree (AQF 9) - Royal Melbourne Institute of Technology ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |