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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; 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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Amanda Sheree Horne | 2006 | 2000 - SMSF Specialist Adviser - - SPAA ~ 2006 - Bachelor of Commerce - - Deakin University ~ 2007 - ASX Accredited Listed Product Adviser (ALPA) - Other - Finsia ~ 2013 - Advanced Diploma in Financial Services (ADFS) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2014 - Self Managed Super Fund Course - - The University of Adelaide ~ 2015 - Accredited Aged Care Professional - Other - Aged Care Steps |
| Anna Maria Garuccio | 1999 | 2006 - Self Managed Super Fund Course - - SPAA ~ 2009 - ASX Accredited Listed Product Adviser (ALPA) Program - Other - Kaplan Professional ~ 2009 - Diploma of Financial Planning - Diploma (AQF 5) - FAAA ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2012 - Fellow Charter Financial Practitioner - - Mentor Education Group |
| Dallas Sinclair | 2024 | 2018 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| David Michael Novotny | 2005 | 2004 - Bachelor of Business - Bachelor Degree (AQF 7) - RMIT ~ 2004 - Certificate IV Finance and Mortgage Broking - - FINSIA ~ 2006 - Margin Lending & Geared Investments - - Kaplan ~ 2007 - Accredited Listed Product Adviser (ALPA) - Other - Kaplan Professional ~ 2018 - SMSF Specialist Adviser - - SMSF Association ~ 2022 - TASA and the TPB Code of Professional Conduct - Other - Kaplan Professional |
| Matthew Rencken | 2018 | 2009 - Postgraduate Diploma in Financial Planning - Diploma (AQF 5) - University of Stellenbosch ~ 2010 - Advanced Postgraduate Diploma in Financial Planning - - University of the Free State (South Africa) ~ 2011 - Bachelor of Commerce (BComm) - Bachelor Degree (AQF 7) - University of Stellenbosch ~ 2018 - Diploma of Financial Planning (FNS50615) - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Superannuation and Retirement Planning - Other - Kaplan Professional ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Pauline Emma Hammer | 1997 | 1994 - Certificate in financial markets - Certificate (AQF 1-4) - Securities Institute of Australia ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - FAAA ~ 2005 - Self Managed Super Fund Course - - SPAA ~ 2012 - Fellow Charter Financial Practitioner - - Campus AFA ~ 2013 - Certified Financial Planner - - FPA |
| Sean Cummins | 2009 | 2000 - Bachelor of Business (Accounting) - - Latrobe University ~ 2012 - Certified Financial Planner - - FPA ~ 2015 - Cavendish & ICFS Specialist SMSF Course - Other - The University of Adelaide ~ 2015 - TASA and the TPB Code of Professional Conduct - Other - Kaplan Professional |
| Stephen Alexander Wilson | 2018 | 2002 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Technology, Sydney ~ 2017 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University ~ 2018 - Accredited Listed Product Adviser Program - Other - Kaplan Professional ~ 2018 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2019 - RG146 Margin lending Facilities - Other - Financial Education Professionals |