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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment products;
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 |
|---|---|---|
| Andrew James Caulfield | 2000 | 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia ~ 2009 - Certificate IV Financial Services (Finance/Mortgage Broking) - Certificate (AQF 1-4) - Mortgage & Finance Association of Australia (MFAA) ~ 2013 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - Institute of Strategic Management ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Mathew Paul Gale | 1997 | 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2005 - SMSF Accreditation - Professional Designations - Tribeca learning ~ 2020 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Sharon Ann Bathis | 1998 | 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - AMP Limited ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2014 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - Kaplan Higher Education Pty Limited ~ 2014 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2022 - Accredited Aged Care Professional - Other - Aged Care Steps ~ 2022 - FPE016 Self Managed Super Funds - Other - Kaplan Higher Education Pty Limited ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2024 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Sim Han Chan | 2009 | 1980 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Sydney ~ 2009 - Certificate IV Financial Services (Finance/Mortgage Broking) - Certificate (AQF 1-4) - Intellitrain Pty Ltd ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2015 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - International Institute of Technology Pty Ltd (IIT) ~ 2022 - Diploma of Finance and Mortgage Broking Management - Diploma (AQF 5) - International Institute of Technology Pty Ltd (IIT) ~ 2024 - Tax for Financial Advising - Other - Kaplan Higher Education Pty Limited ~ 2025 - Commercial Law - Other - Kaplan Higher Education Pty Limited |