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