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 |
|---|---|---|
| Andrew Bowker | 2018 | 2006 - Baccalaureus Scientiae (Bachelor of Science) - - University of Johannesburg (South Africa) ~ 2012 - Postgraduate Diploma in Financial Planning - - University of the Free State (South Africa) ~ 2017 - Diploma of Financial Planning - - Mentor Education ~ 2018 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2020 - Self Managed Superannuation Fund - Other - Mentor Education |
| Benjamin Peter Frawley | 1999 | 1994 - Bachelor of Arts - - Macquarie University ~ 2000 - Diploma of Financial Planning - - Financial Planning Association ~ 2008 - CFP - - FPA ~ 2020 - FASEA Exam - Other - FASEA |
| Christopher Tobin | 2013 | 2013 - Diploma of Financial Planning - - Kaplan ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan ~ 2016 - Self Managed Superannuation Funds - - Kaplan ~ 2021 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - RMIT University |
| David Allan Austen Coulton | 2011 | 2008 - Certificate IV in Financial Services - - Australis College (formerly Intellitrain) ~ 2010 - Diploma of Financial Services (Financial Planning) - - International Institute of Technology (IIT) ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education |
| Evan Hill | 2011 | 2010 - Bachelor Degree - Business and Commerce - - University of Western Sydney ~ 2013 - Advanced Diploma - Financial Planning - - Kaplan Professional ~ 2014 - Certified Financial Planner - - Financial Planning Association of Australia (FPA) ~ 2020 - Masters Degree -Applied Finance - Masters Degree (AQF 9) - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jarrod Bailey | 2020 | 2007 - Diploma of Financial Services - Diploma (AQF 5) - Mentor Education ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2020 - FASEA - Other - FASEA ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| John Michael Core | 1976 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Diploma of Financial Services (Insurance Broking) - - National Insurance Brokers Association (NIBA) ~ 2016 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jonathan Llewellyn | 2023 | 2004 - Bachelor of Arts (International Relations) - Bachelor Degree (AQF 7) - University of Queensland ~ 2004 - Bachelor of Laws - Bachelor Honours Degree (AQF 8) - University of Queensland ~ 2010 - Master of Business Administration - Masters Degree (AQF 9) - Bond University ~ 2022 - Graduate Diploma - Graduate Diploma (AQF 8) - Kaplan |
| Jonathan Pohl | 2014 | 2007 - BCom - - Rhodes University, South Africa ~ 2009 - Postgraduate Diploma in Financial Planning - - University of the Free State, South Africa ~ 2014 - Diploma of Financial Services - - Pinnacle Financial Services Academy ~ 2016 - Certified Financial Planner - - Deakin University / FPA ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Joseph James Dagg | 2011 | 2003 - Bachelor of Mathematics - Bachelor Degree (AQF 7) - University of Newcastle ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - AMP Financial Services ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education |
| Matthew Dragovic | 2011 | 2004 - Bachelor of Commerce - - University of Wollongong ~ 2008 - Advanced Diploma of Financial Services - - Kaplan Professional Education ~ 2010 - Certificate IV in Finance and Mortgage Broking - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education ~ 2011 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Maxwell Watkinson | 2023 | 2020 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - QUT ~ 2022 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Nimashan Tambyah | 2006 | 2000 - Bachelor of Business - - Swinburne University ~ 2006 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2014 - Margin Lending (subject) - - Kaplan Professional Education ~ 2018 - Master of Financial Planning - - Kaplan Professional |
| Rafic Hallak | 2003 | 1999 - Bachelor of Business (Accounting and Finance) - - University of Technology Sydney ~ 2005 - Policy Statement 146 Knowledge Assessment (subject) - - Integratec ~ 2006 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Scott William O'donnell | 2009 | 1992 - Bachelor of Business (Accounting) - - Griffith University ~ 1999 - Master of Commerce - - University of Southern Queensland ~ 2009 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd |
| Sean Wi-kiong Yeo | 2013 | 2000 - Bachelor of Arts - - Murdoch University ~ 2012 - Diploma of Financial Planning - - Monarch Institute ~ 2013 - Cavendish & ICFS Specialist SMSF Course - - University of Adelaide ~ 2014 - Advanced Diploma of Financial Planning - - Monarch Institute ~ 2018 - Certified Financial Planner - - Financial Planning Association of Australia |
| Wisam Sarayeldin | 2014 | 2013 - Bachelor of Business and Commerce (Applied Finance) - - University of Western Sydney ~ 2014 - Diploma Of Financial Planning - - Kaplan Professional Education ~ 2016 - Advanced Diploma Of Financial Planning - - Kaplan Professional Education ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2017 - Tier 1 Margin Lending - Personal Advice - - Kaplan Professional Education |