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;
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; 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Benjamin George Brookes | 2011 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2012 - Margin Lending - - Kaplan ~ 2017 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2021 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2025 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Benjamin Johnson | 2022 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Blair David Jamieson | 2024 | 2020 - Ethics and Professional Standards for Financial Advisers - Bridging Course - Ethics - TAFE (NSW) ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Boban Petreski | 2015 | 2014 - Diploma of Financial Planning - - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2017 - Margin Lending - - Monarch Institute ~ 2017 - Self Managed Superannuation Fund Adviser (Personal Advice) - - Mentor Education |
| Dale Chauke | 2018 | 2012 - Bachelor of Commerce in Internal Auditing - Bachelor Degree (AQF 7) - University of Pretoria ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - International Institute of Technology (IIT) ~ 2021 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional ~ 2022 - SMSF Specialist - Other - University of Adelaide |
| Damian Reece Grimes | 1987 | 2009 - Certificate - ASIC General Insurance Compliance - - Australian New Zealand Institute of Insurance Finance ~ 2009 - Certificate - Australian Mortgage Broking - - Kaplan Professional ~ 2009 - MFAA Initial Compliance Pack - - Mortgage & Finance Association of Australia ~ 2011 - Self Managed Superannuation Funds - - Kaplan ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan |
| Katherine Anne Hayes | 2006 | 2007 - Diploma of Financial Services (Financial Planning) - - Finsia ~ 2008 - Graduate Certificate of Financial Planning - - Finsia ~ 2009 - Graduate Diploma of Applied Finance - - Kaplan |
| Matthew William Wallis | 2012 | 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2017 - DFP5v3 Tax for Financial Advising - - Kaplan ~ 2018 - TASACLv1 Commercial Law - - Kaplan ~ 2024 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - University of New England |
| Mia Inglis | 2024 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Patricia Margaret Gregory | 2017 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2019 - Graduate Certificate of Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2022 - Certified Financial Planner - Professional Designations - FPA Australia ~ 2022 - Master Of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Phillip Arthur Osborne | 1998 | 1998 - Diploma of Financial Planning - - FPA / Deakin University ~ 2006 - Master of Commerce - - University of Western Sydney |
| Rikki Leonard Mason | 2018 | 2016 - Diploma of Financial Planning - - International Institute of Technology |
| Shaun Clements | 2005 | 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Master of Financial Planning - - University of the Sunshine Coast ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Terry Christopher Johnson | 2009 | 2007 - Certificate IV in Mortgage Broking - - Kaplan ~ 2007 - Diploma in Financial Planning - - Kaplan ~ 2011 - Advanced Diploma in Financial Planning - - Kaplan ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Tristan Ernest Godfrey | 2003 | 2005 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca ~ 2005 - Self Managed Superannuation Funds - Other - Kaplan ~ 2010 - ASX Listed Products Accreditation Course - Other - LPAC Online ~ 2010 - Certified Financial Planner - Professional Designations - FAAA ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |