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;
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;
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 |
|---|---|---|
| Alister Hugh Ondarchie | 2015 | Advanced Diploma of Financial Planning - Monarch Institute ~ Diploma of Financial Planning - Monarch Institute |
| Ayal Fernando | 2008 | Advanced Diploma Financial Planning - Monarch Institute ~ Bachelor of Commerce - University of Melbourne ~ Diploma Financial Planning (SMSF) - Monarch Institute ~ Diploma Financial Planning - Kaplan |
| Ben Charles Taylor Wauchope | 2014 | Advanced Financial Planning - Kaplan ~ Bachelor of Commerce - University of Western Australia ~ Diploma of Financial Planning - Kaplan ~ Margin Lending - Personal Advice Tier 1 - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Benjamin Ricketts | 2015 | Bachelor of Applied Finance - University of South Australia ~ Certificate IV Financial Services (Finance/Mortgage Broking) (Qualification) - TAFE SA ~ Debt Securities - Pinnacle ~ Diploma of Business - South Australian Institute of Business and Technology ~ Diploma of Financial planning - Pinnacle |
| Daniel Matthew Salerno | 2009 | 7269AFE/7815AFE Ethics and Professionalism - Griffith University ~ Advanced Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy Pty Ltd ~ Diploma of Finance and Mortgage Broking Management - Intellitrain Pty Ltd ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Graduate Certificate in Financial Planning - Griffith University |
| David Richard Sims | 2012 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Deborah Lee Spence | 2000 | Certified Financial Planner - FPA ~ Diploma of Financial Planning - Deakin University |
| Elizabeth Hatton | 2015 | Accredited Listed Product Adviser Program (ALPA) - Kaplan Professional ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Master of Practising Accounting - Monash University ~ Self Managed Superannuation Funds - Kaplan Professional |
| James Kingsland Harris | 2015 | Bachelor of Commerce - University of Tasmania ~ Diploma of Financial Planning - Kaplan Professional |
| James Nathan Petterson | 2012 | Advanced Diploma of Financial Services - Kaplan ~ Bachelor of Business (Finance) - Charles Stut University ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology (IIT) ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Kristy-lee Lambert | 2015 | Diploma of Financial Planning - Monarch Institute ~ Statement of Attainment - SMSF - Monarch Institute |
| Luke Paul Dalziel-don | 2011 | Advanced Diploma Financial Planning FNS60415 - International Institute of Technology ~ Diploma Financial Sevices (Financial Planning) FNS50804 - International Institute of Technology ~ Diploma of Business - TAFE QLD ~ RG146 Margin Lending - MLC ThreeSixty ~ SuperConcepts & ICFS Specialist SMSF - University of Adelaide |
| Martin David Tuttlebee | 2018 | Bachelor of Arts (Economics) - The University of Derby ~ Diploma of Financial Planning - Monarch Institute |
| Matthew Paul Timms | 2018 | Bachelor of Business (Economics) - Queensland University of Technology (QUT) ~ Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Griffith |
| Michael Carlton | 1991 | AO - Margin Lending and Geared Investments - Kaplan Professional ~ Diploma Financial Planning - Financial Planning Association ~ Limited Recourse Borrowing Advice Accreditation - DBA Bulters Lawyers - Crowe Horwath Australia ~ SMSF - Tribeca Learning Australia |
| Michael Curnow | 2015 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Commerce - University of South Australia ~ Diploma of Financial Planning - Kaplan ~ Investment Products 3 - Securities, Managed Investments, Margin Lending - Kaplan ~ Taxation Fundamentals - Kaplan |
| Michelle Sharon Tate-lovery | 1989 | Bachelor of Arts (Hons) - University of Western Australia ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Margin Lending and Geared Investments - Kaplan Professional ~ Self Managed Super Fund Accreditation - Financial Essentials |
| Serenette Margaret Crombie | 2018 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business and Commerce (Finance) - University of Southern Queensland ~ Diploma of Financial Planning - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Spiro Ross Dalaberas | 2014 | Bachelor of Accounting - University of South Australia ~ Bachelor of Business (Financial Planning) - RMIT University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Self Managed Superannuation Funds - Monarch Institute |
| Tristan Scifo | 2013 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ Bachelor of Applied Finance - Macquarie University ~ Diploma of Financial Planning - Integrity Education Group |
| Troyden Ratcliffe | 2018 | Accredited Listed Product Adviser Program (ALPA) - Kaplan Professional ~ Bachelor of Commerce - University of the Sunshine Coast ~ Graduate Certificate in Financial Planning - Griffith University ~ Master of Financial Planning - Griffith University ~ SMSF - FirstTech |