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;
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;
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 |
|---|---|---|
| Craig Brinsdon | 2011 | 1996 - Diploma in Business Studies - Diploma (AQF 5) - Other ~ 2000 - Bachelor Commerce - Bachelor Degree (AQF 7) - Other ~ 2010 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Australia ~ 2016 - Tier 1 RG146 Margin Lending - Diploma (AQF 5) - Kaplan Australia ~ 2022 - FASEA Code of Ethics - Bridging Course - Ethics - Kaplan Australia |
| Demelza Louise Lister | 2010 | 2000 - Bachelor of Business (Hospitality Management) - Bachelor Degree (AQF 7) - La Trobe University ~ 2005 - Diploma of Financial Planning FNS50804 - Diploma (AQF 5) - Tribeca ~ 2012 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2016 - Advanced Diploma of Financial Planning FNS60415 - Advanced Diploma (AQF 6) - Kaplan Australia ~ 2022 - Accredited Aged Care Professional - Other - Aged Care Steps Pty Ltd |
| Gavin John Napier | 2005 | 1996 - Bachelor of Business - Bachelor Degree (AQF 7) - La Trobe University ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional Education ~ 2005 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional Education ~ 2012 - SMSF Specialist Advisor - Professional Designations - Self Managed Super Fund Association |
| Katherine Lois O'dwyer | 2024 | 2012 - Bachelor of Business Human Resource Management / Business Advertising & Design - Bachelor Degree (AQF 7) - Swinburne University of Technology ~ 2014 - Diploma of Finance, Mortgage Broking Management - Other - AAMC Training Group ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Lisa Ciancio | 0 | 2001 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2006 - CFP Certification - Professional Designations - Financial Planning Association of Australia Limited ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Swinburne University of Technology ~ 2024 - Exam Standard Certification - Other - ASIC |
| Michael James Chalmers | 1998 | 2001 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology (RMIT) ~ 2001 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2004 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) |
| Oliver Ladd | 2011 | 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2020 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |