This licence authorises the licensee to carry on a financial services business to provide financial service(s) limited to:
Provide financial product advice limited to personal and general financial product advice limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
Deal in a financial product limited to apply for, acquire, vary or dispose of a financial product on behalf of another person limited to:
basic deposit products to retail and wholesale clients;
debentures, stocks or bonds issued or proposed to be issued by a government to retail and wholesale clients;
life products limited to investment life insurance products to retail and wholesale clients;
life products limited to life risk insurance products to retail and wholesale clients;
managed investment schemes including IDPS to retail and wholesale clients;
non-basic deposit products to retail and wholesale clients;
retirement savings accounts to retail and wholesale clients;
securities to retail and wholesale clients; and
superannuation to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alberto Diez | 2010 | 2001 - Bachelor of Business Administration with major studies in International Business - Bachelor Degree (AQF 7) - Western Sydney University ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Education Pty Limited ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education Pty Limited ~ 2021 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education Pty Limited ~ 2024 - Tax for Financial Advising - Other - Kaplan Education Pty Ltd |
| Eric MA | 0 | 2006 - Bachelor of Commerce (Marketing) - Bachelor Degree (AQF 7) - The University of Adelaide ~ 2019 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - AAMC Training Group ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Evan Hill | 2011 | 2010 - Bachelor of Business and Commerce - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2015 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association of Australia ~ 2016 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Professional ~ 2016 - SMSF Specialist Advisor - Professional Designations - Self Managed Super Fund Association ~ 2017 - Accredited Aged Care Professional - Professional Designations - Aged Care Steps ~ 2017 - Diploma of Finance and Mortgage Broking Management - Upgrade Module - Diploma (AQF 5) - Kaplan Professional ~ 2020 - Master of Applied Finance - Masters Degree (AQF 9) - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Certified Exit Planning Advisor - Professional Designations - Exit Planning Institute |
| 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) - Bachelor Degree (AQF 7) - Griffith University ~ 1999 - Master of Commerce - Masters Degree (AQF 9) - University of Southern Queensland ~ 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Mentor Education Pty Ltd ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - 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 ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Wisam Sarayeldin | 2014 | 2013 - Bachelor of Business and Commerce (Applied Finance) - Bachelor Degree (AQF 7) - University of Western Sydney ~ 2014 - Diploma Of Financial Planning - - Kaplan Professional Education ~ 2016 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2017 - Tier 1 Margin Lending - Personal Advice - - Kaplan Professional Education ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Zafer Bhadshah Khan | 2014 | 2006 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Pinnacle ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2024 - Tax for Financial Advising - Other - Kaplan Professional |