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;
general insurance 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;
general insurance 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 |
|---|---|---|
| Amber Ling | 2017 | 2003 - Bachelor of Commerce - - University of Newcastle ~ 2005 - Graduate Diploma in Chartered Accounting - - Chartered Accountants ANZ ~ 2016 - Certificate IV in Finance & Mortgage Broking - - Kaplan Professional Education ~ 2016 - Diploma of Financial Planning - - Kaplan Professional Education |
| Benjamin Richard Letham | 2010 | 2004 - Bachelor of Finance - Bachelor Degree (AQF 7) - University of Newcastle ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Margin Lending & Geared Investments Statement of Attainment - - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds Statement of Attainment - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Bradley John Oldham | 2014 | 2005 - Graduate Certificate of Business Administration - - University of Newcastle ~ 2012 - Justice of the Peace NSW - - Attorney General & Justice ~ 2014 - Tier 1 Specialist Risk Management - - International Institute of Technology |
| Catherine Maryanne Parker | 2016 | 2011 - Bachelor of Commerce (Financial Accounting & Finance) - - University of Newcastle ~ 2013 - Graduate Diploma Chartered Accounting - - Institute of Chartered Accountants ~ 2015 - Certificate IV in Finance & Mortgage Broking - - Kaplan Professional Education ~ 2015 - Diploma in Financial Planning - - Kaplan Professional |
| Craig Mark Semmler | 2011 | 2010 - Bachelor of Commerce - - University of Newcastle ~ 2011 - Justice of the Peace NSW - - Attorney General & Justice ~ 2013 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2014 - Margin Lending & Geared Investments Accreditation - - Kaplan ~ 2014 - Self Managed Super Fund Accreditation - - Kaplan |
| Jace Ashley Pedonese | 2017 | 1999 - Bachelor of Commerce - - University of Newcastle ~ 2015 - Diploma of Financial Planning - - Kaplan Professoinal Education ~ 2016 - Certificate IV in Finance & Mortgage Broking - - Kaplan Professional Education |
| Janelle Louise Brady | 2022 | 1990 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Newcastle ~ 1994 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - The Securities Institute of Australia ~ 2019 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education |
| Jarrod Heath Bramble | 2010 | 1997 - Bachelor of Commerce - - University of Newcastle ~ 1999 - Chartered Accountant - - Institute of Chartered Accountants ~ 2010 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2012 - Chartered Tax Adviser - - Tax Institute ~ 2012 - Diploma of Financial Services - - Kaplan |
| Jason Campbell-atkinson | 2018 | 2018 - Bachelor of Business (International Business & Management) - - University of Newcastle ~ 2018 - Diploma of Financial Planning (Module 1) - - Kaplan ~ 2018 - Diploma of Financial Planning (Module 2) - - Kaplan |
| Justin Beeforth | 2016 | 2014 - Bachelor of Business - - University of New England ~ 2014 - Bachelor of Economics - - University of New England ~ 2016 - Diploma of Financial Planning - - Kaplan ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Matthew Kevin Edmonds | 2017 | 2002 - Bachelor of Commerce - - University of Newcastle ~ 2005 - Graduate Certificate Chartered Accounting - - Chartered Accountants Australia NZ ~ 2016 - Certificate IV Finance & Mortgage Broking - - Kaplan Professional ~ 2017 - Diploma of Financial Planning - - Kaplan Professional |
| Nicholas Donald Carter | 2018 | 2010 - Bachelor of Commerce - - University of Newcastle ~ 2012 - Graduate Certificate Chartered Accounting - - CAANZ ~ 2017 - Certificate IV Finance & Mortgage Broking - - Kaplan Professional ~ 2018 - Diploma of Financial Planning - - Kaplan Professional |
| Nicole Leanne Brown | 2017 | 2004 - Bachelor of Commerce - - University of Newcastle ~ 2007 - Certified Practicing Accountant - - CPA Australia ~ 2015 - Certificate IV in Finance & Mortgage Broking - - Kaplan Professional Education ~ 2015 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2020 - Certificate of Public Practice - Certificate (AQF 1-4) - Chartered Accountants ANZ |
| Philip John Stanbridge | 2007 | 2004 - Diploma of Financial Planning - - Financial Planning Association of Australia Limited ~ 2010 - Margin Lending and Geared Investments Statement of Attainment - - Kaplan Professional ~ 2011 - Self Managed Superannuation Funds Statement of Attainment - - Kaplan Professional ~ 2012 - Life Insurance & Skills Statement of Attainment - - Kaplan Professional |
| Samuel James Arnott | 2017 | 2009 - Bachelor of Commerce - - University of Newcastle ~ 2011 - Graduate Diploma of Chartered Accounting - - Chartered Accountants ANZ ~ 2016 - SMSF Specialist Advisor - - SMSF Association |
| Saverio Angi | 2004 | 1995 - Bachelor of Business (Accountancy) - - Queensland University of Technology ~ 2002 - DFP001 Introduction to Financial Planning - - Financial Planning Association of Australia ~ 2002 - DFP002 Risk Management and Insurance Planning - - Financial Planning Association of Australia ~ 2002 - DFP004 Retirement Planning - - Financial Planning Association of Australia ~ 2002 - Financial Planning Proper Authority Course - - The Securities Institute and The Institute of Chartered Accountants in Australia |
| Shane Alexander Morgan | 2007 | 1995 - Bachelor of Commerce - - University of Newcastle ~ 2000 - Chartered Accountant - - Institute of Chartered Accountants ~ 2003 - Diploma of Financial Planning - - Securities Institute ~ 2006 - SMSF Specialist Advisor (SSA) Accreditation - - SMSF Association ~ 2016 - Tier 1 Foreign Exchange - - Kaplan Professional |
| Stuart Phillip Chan | 2017 | 1997 - Bachelor of Commerce - - Macquarie University ~ 2001 - Graduate Diploma of Chartered Accounting - - Chartered Accountants ANZ ~ 2006 - Graduate Diploma of Financial Planning - - Finsia |
| Wade Bryan Johnson | 2012 | 2012 - Accredited Derivatives Adviser Level 1 - - Kaplan ~ 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Margin Lending & Geared Investments - - Kaplan ~ 2013 - Bachelor of Commerce - - University of Newcastle ~ 2016 - Tier 1 Foreign Exchange - - Kaplan Professional |