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 | Advanced Diploma of Financial Services (Financial Planning) - Tribeca ~ Advanced Self Managed Super Funds Program - Kaplan ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Adam John Gale | 2018 | Diploma of Financial Planning - Kaplan ~ Diploma of Financial Services (Finance/Mortgage Broking Management) - AAMC |
| Amanda Thompson | 2000 | Advanced Diploma of Financial Planning - Finsia ~ Diploma of Financial Advising - Securities Institute ~ SMSF - Tribeca ~ The Count Introductory Training Course - Count Wealth Accountants |
| Anders Mckenzie Huitfeldt | 1992 | Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services - NIBA |
| Andre Dirckze | 2002 | ADEP - Estate Planning - Pinnacle ~ ADEP - Estate Planning - Pinnacle ~ Diploma of Financial Services - Kaplan Education Pty Limited ~ Diploma of Financial Services - Kaplan Education Pty Limited ~ Investment Planning 1 - Integratec ~ Investment Planning 1 - Integratec ~ Superannuation & Retirement Planning - Integratec ~ Superannuation & Retirement Planning - Integratec |
| Anthony Grant Sandercock | 1987 | CFP Certification Global excellence in financial planning - FPA ~ Graduate Diploma in Personal Financial Planning - University of Southern Queensland ~ Margin Lending and Geared Investments - Kaplan Professional ~ Master of Personal Financial Planning - University of Southern Queensland |
| Christopher William Mullan | 2002 | Diploma of Financial Planning - Kaplan Professional |
| Gerald Antoine Balancy | 2006 | Diploma of Finance and Mortgage Broking Management - The National Finance Institute ~ Diploma of Financial Services (Financial Planning) - Trainee Management Australia Pty Ltd ~ Self Managed Superannuation Fund Adviser (Personal Advice) - Mentor Education |
| Ian William Dale | 2004 | DFP5v2 Tax for Financial Advising - Kaplan ~ Diploma of Financial Planning - Mentor ~ Diploma of Financial Services (Financial Planning) - Financial Services Training and Assessment Pty Ltd ~ Estate Planning - Kaplan ~ Risk Management - Integratec |
| Jason Ian Nairn | 2011 | Advance Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Advance Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Advanced Texation Planning - Pinnacle Financial Service Academy ~ Advanced Texation Planning - Pinnacle Financial Service Academy ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Diploma of Financial Services (Financial Planning) - Mentor Education Pty Ltd ~ Estate Planning, Practice Management & Marketing - Pinnacle Financial Services Academy ~ Estate Planning, Practice Management & Marketing - Pinnacle Financial Services Academy ~ SMSF Accreditation - Pinnacle Financial Services Academy ~ SMSF Accreditation - Pinnacle Financial Services Academy |
| Jeevan Intherarasa | 2006 | Advanced Diploma of Financial Planning - Mentor Education ~ Bachelor of Business - Victoria University ~ Diploma Financial Services (Financial Planning) - PS146/RG146 Training ~ Margin Lending and Geared Investments - Kaplan Education ~ Master of Finance - RMIT |
| John Francis Nugent | 2017 | Bachelor of Business - Victoria College ~ Diploma of Financial Planning - Kaplan Professional |
| John Myles Parker | 1985 | Diploma of Financial Services (Financial Planning) - Tribeca |
| Jun Keat Tan | 2011 | Bachelor of Commerce - Deakin University ~ TASA and the TPB Code of Professional Conduct - Kaplan Professional |
| Michael John Wilson | 1989 | Diploma of Financial Planning - Financial Planning Association of Australia (FPA) |
| Peter Ian Kinross | 1988 | Advance Diploma Financial Services - Deakin ~ Diploma Financial Services - Deakin ~ Financial Services Essential - Deakin |
| Peter Morrison-dowd | 1984 | Diploma of Financial Services (Financial Planning) - Mentor Education Group |
| Robert William Phillips | 2012 | Graduate Diploma - business - Adelaide university ~ Masters Degree - Business - Adelaide University ~ TASA and the TPB Code of Professional Conduct - KAPLAN |
| Roland Badia Nkanka | 2009 | Advanced Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Bachelor of Commerce - Curtin University ~ Diploma of Financial Services (Financial Planning) - AAMC Training Group ~ Self Managed Superannuation Funds - Kaplan |
| Sajal Gupta | 2012 | Certificate IV Financial Services (Finance/Mortgage Broking) - Intellitrain Pty Ltd ~ Diploma of Financial Services (Financial Planning) - Investment Banking Institute (IBI) |
| Sean Duane Gallagher | 2004 | 924 Superannuation & Skills - Kaplan ~ Ethics and Professional Relationships - QUT ~ Professional Diploma in Stockbroking - DeakinPrime ~ Series 7 - US Securities & Exchange Commission |
| Thor-bjorn Mcdowell | 2011 | Diploma of Financial Planning - Pinnacle ~ SMSF Accredited Specialist - Kaplan |
| Vaughan Franks | 2003 | ASX Listed Products Accreditation Course (LPAC) - LPACOnline ~ Advanced Diploma of Financial Planning - Integratec ~ Diploma of Financial Planning - Integratec ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |