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; 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Berenice Roberts | 2001 | 1999 - Diploma of Financial Planning - - Deakin University ~ 2000 - CFP - - Financial Planning Association |
| Brett Kenneth Aitken | 2007 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2011 - Taxation Planning - - Kaplan |
| Caitlin Hall | 2016 | 2016 - Diploma of Financial Planning - - Kaplan Education Pty Ltd |
| Cassandra Lee Pearson | 2016 | 2015 - Bachelor of Commerce - - University of Canberra |
| Charmaine Hall | 2012 | 2009 - Diploma of Financial Services (Financial Planning) - - ThreeSixty (MLC Education) ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Christopher Holme | 2011 | 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional Education ~ 2014 - Self Managed Superannuation Funds - - Mentor Education ~ 2018 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional |
| Christopher Jones | 1999 | 1997 - Bachelor of Economics (Social Sciences) Honours - - University of Sydney ~ 2000 - CFP - - FPA ~ 2000 - Diploma of Financial Planning - - Deakin University ~ 2004 - Master of Commerce (Financial Planning) - - University of Western Sydney |
| Craig Hardy | 2010 | 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2012 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Charles Sturt University ~ 2023 - Master of Applied Finance - Masters Degree (AQF 9) - Charles Sturt University |
| Craig Phillips | 1991 | 1989 - Bachelor of Economics - - James Cook University ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| David Luke | 2004 | 1996 - Bachelor of Commerce - - University of Canberra ~ 2010 - Diploma of Financial Services - Diploma (AQF 5) - Kaplan ~ 2010 - Financial Planning - Advanced Diploma (AQF 6) - Kaplan |
| Garth Collingwood | 2004 | 2003 - Bachelor of Behavioural Science - - Griffith University ~ 2003 - Bachelor of Commerce - - Griffith University |
| Gianna Oliva Thomson | 2004 | 2009 - Advanced Diploma of Financial Services (Superannuation) - Advanced Diploma (AQF 6) - Association of Superannuation Funds of Australia ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Association of Superannuation Funds of Australia ~ 2013 - Bachelor of Finance - Bachelor Degree (AQF 7) - University of Canberra ~ 2016 - Certified Financial Planner - Professional Designations - Financial Planning Association ~ 2018 - SuperConcepts & ICFS Specialist SMSF course - Other - University of Adelaide |
| Jenny Bai | 2007 | 2001 - Bachelor of Mathematics and Finance - - University of Technology, Sydney ~ 2005 - Graduate Diploma of Financial Planning - - Securities Institute ~ 2007 - Certified Financial Planner (CFP) - - Financial Planning Association (FPA) |
| Luke Volker | 2012 | 2008 - Bachelor of Commerce / Bachelor of Economice - - Uni of New England ~ 2011 - Masters of Applied Finance - - Macquarie Uni ~ 2012 - RG146 Compliance Certified - - Macquarie Uni ~ 2014 - Advanced Diploma of Financial Planning - - Monarch Uni ~ 2014 - Diploma of Financial Planning + SMSF - - Monarch Uni |
| Matthew John Bindah | 2018 | 2014 - Bachelor of Commerce (Accountancy and Finance) - Bachelor Degree (AQF 7) - University of Wollongong ~ 2020 - Master of Applied Finance - Masters Degree (AQF 9) - Charles Sturt University ~ 2022 - Certified Financial Planner - Professional Designations - Financial Advice Association Australia |
| Michael Mckean | 2008 | 2004 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2004 - Diploma of Financial Services (Financial Planning) - - Tribeca |
| Mohammad Hussein | 2008 | 2008 - Bachelor of Business (Applied Finance) - - University of Western Sydney ~ 2013 - Certified Financial Planner (CFP) - - Financial Planning Association (FPA) ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2023 - Super Concepts & ICFS Specialist SMSF Online Course - Other - The University of Adelaide |
| Patrick Crehan | 2001 | 1994 - Bachelor of Arts - Bachelor Degree (AQF 7) - Macquarie University ~ 2001 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA/Deakin University ~ 2003 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Rebecca Guy | 2010 | 2009 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT ~ 2010 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan Professional ~ 2012 - Self Mananged Superannuation Funds - Certificate (AQF 1-4) - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Richard John Mair | 2013 | 2012 - Diploma Financial Planning FNS50610 - Diploma (AQF 5) - Kaplan Professional ~ 2015 - Advanced Diploma Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Kaplan Professional |
| Robert James Baker | 2005 | 2014 - Taxation Fundamentals - - Kaplan ~ 2014 - Teir 1 - Generic Knowledge - - Kaplan ~ 2014 - Tier 1 - Life Insurance - Personal Advice - - Kaplan ~ 2014 - Tier 1 Financial planning - Personal Advice - - Kaplan ~ 2015 - Tier 1 - managed Investments - Personal Advice - - Kaplan |
| Sebastian Vranken | 2006 | 1997 - Bachelor of Commerce - - University of Western Sydney - UWS Nepean ~ 2001 - Graduate Diploma in Financial Planning - - Securities Institute of Australia ~ 2004 - Certified Financial Planner - - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Tom Nguyen | 2002 | 1998 - Bachelor of Biomedical Science - Bachelor Degree (AQF 7) - University of Technology Sydney ~ 2003 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA/Deakin University ~ 2006 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) |
| William Douglas Hardie | 2017 | 2012 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of South Australia ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Self-Managed Superannuation Funds - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |