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;
derivatives;
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;
derivatives;
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 |
|---|---|---|
| Christopher Forrest | 1998 | 1993 - Bachelor of Economics - - Macquarie University ~ 2001 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Graham Bernard Yon | 2013 | 2005 - Bachelor Business (Applied Finance) - - University of Western Sydney ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan ~ 2017 - Self Managed Superannuation Funds - - Kaplan ~ 2019 - Certified Financial Planner - - Financial Planning Association of Australia |
| Jane Mitchell | 2010 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan (formerly FINSIA) ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Accredited Listed Product Adviser Program - - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Jeffrey Wrightson | 1989 | 1987 - Bachelor of Business - - Kuring-gai College of Advanced Education (now UTS) ~ 1989 - Graduate Diploma of Applied Finance - - Securities Institute of Australia (now Finsia) ~ 1996 - Certified Financial Planner - - Financial Planning Association of Australia ~ 1996 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Matthew Kevin Fenning | 2013 | 2013 - Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2014 - SMSF - - Kaplan ~ 2015 - Accredited Listed Product Adviser - - Kaplan ~ 2016 - Graduate Diploma of Applied Finance - - Kaplan |
| Milad Ahmadzai | 2024 | 2012 - Bachelor of Commerce - Bachelor Honours Degree (AQF 8) - Macquarie University ~ 2016 - Margin Lending - Other - SIAA ~ 2020 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Monarch Institute ~ 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2023 - Accredited Listed Product Adviser - Other - ASX |
| Nina Kazmierczak | 2008 | 2005 - Bachelor of Business - - University of Technology, Sydney ~ 2007 - Diploma of Financial Services - - Tribeca ~ 2017 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Salvatore (sam) Stillone | 1997 | 1993 - Bachelor of Commerce (Accounting and Economics) - Bachelor Degree (AQF 7) - University of Wollongong ~ 1999 - Chartered Accountant - Bachelor Degree (AQF 7) - Institute of Chartered Accountants ~ 2000 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2000 - Financial Planning Specialist - Professional Designations - Institute of Chartered Accountants |
| Samuel Anthony Fenning | 2014 | 2013 - Bachelor of Commerce (Financial Planning) - - University of Wollongong ~ 2017 - Accredited Listed Product Adviser - - Kaplan ~ 2017 - Certified Financial Planner - - FPA ~ 2019 - FASEA Exam - Other - FASEA |
| Yue Leng | 0 | 2012 - Master of Education - Masters Degree (AQF 9) - Queensland University of Technology ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Mentor Education ~ 2022 - Graduate Diploma Of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |