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 |
|---|---|---|
| Anne Quon | 2007 | 2007 - Diploma of Financial Services - Diploma (AQF 5) - Kaplan Professional |
| Christopher Lang | 2014 | 2012 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT |
| James Neil Baird | 2008 | 1995 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Western Australia ~ 2003 - Foundation DFP - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2003 - Master of Business Administration - Masters Degree (AQF 9) - University of Western Australia ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2010 - Self Managed Superannuation Funds - - Kaplan |
| Karen Elizabeth Mcleod | 2003 | 2000 - Bachelor of Business (International Business) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University ~ 2003 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Louise Edkins | 1984 | 2000 - Certified Financial Planner - - Financial Planning Association ~ 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Deakin University |
| Luke Anthony Price | 2011 | 2010 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan ~ 2014 - Bachelor Business (Finance) - Bachelor Degree (AQF 7) - Queensland University of Technology |
| Melinda Anne Reid | 2000 | 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2016 - Self-Managed Superannuation Funds - - Kaplan ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Nathaniel Luke Peter Chell | 2007 | 2006 - Bachelor of Management - Bachelor Degree (AQF 7) - University of Newcastle ~ 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education Pty Ltd ~ 2008 - Tier 1 Adviser Compliance Solution - - FINSIA ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan ~ 2015 - Self-Managed Superannuation Funds - - Kaplan |
| Ross Brenton Roger Little | 2018 | 2000 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Queensland ~ 2003 - Bachelor of Laws - Bachelor Degree (AQF 7) - University of Queensland ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2023 - Master of Sustainability and Climate Policy - Masters Degree (AQF 9) - Curtin University ~ 2024 - SMSF Specialist Advisor - Professional Designations - SMSF Association |
| Sarah Emily Wood | 2007 | 2003 - Bachelor of Business - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2004 - Diploma of Financial Planning (Financial Services) - Diploma (AQF 5) - Tribeca/ FINSIA ~ 2009 - Taxation Planning (ADFS 1) - - Mentor ~ 2011 - Bachelor of Laws - Bachelor Degree (AQF 7) - Southern Cross University |
| Stephanie Leanne Dewberry | 2023 | 2017 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - Macquarie University ~ 2022 - Master of Applied Finance - Masters Degree (AQF 9) - Charles Sturt University |
| Stuart Richard Barry | 2006 | 1988 - Bachelor of Business Accounting - Bachelor Degree (AQF 7) - Chisholm Institute of Technology ~ 1993 - Master of Business Administration Finance - Masters Degree (AQF 9) - Queensland University of Technology ~ 2008 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2009 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia |
| Thomas John Robertson | 2017 | 2014 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Tasmania ~ 2016 - Master of Finance - Masters Degree (AQF 9) - University of Tasmania ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional |