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;
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:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of 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;
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 |
|---|---|---|
| Boris Pedisic | 1997 | 1988 - Bachelor of Science in the Faculty of Mathematical Sciences - Bachelor Honours Degree (AQF 8) - The Adelaide University ~ 1997 - Graduate Diploma in Applied Finance and Investments - - Securities Institute of Australia ~ 2001 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - FPA ~ 2011 - Margin Lending and Geared Investments - Other - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Brenton Douglas Miegel | 1999 | 1998 - Diploma of Financial Planning - Diploma (AQF 5) - FPA ~ 2011 - DPML Margin LEnding - - Pinnacle ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Craig Kirkwood | 2011 | 2004 - Diploma of Financial Markets - - Securities Institute ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Lachlan William Harvey | 2000 | 1997 - Bachelor of Economics - Bachelor Degree (AQF 7) - Flinders University ~ 2002 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2011 - DPML Margin Lending - - Pinnacle ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Matthew James Kelly | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2008 - Bachelor of Business (Applied Finance) - Bachelor Degree (AQF 7) - University of South Australia ~ 2020 - Ethics and Professionalism in Advice - Bridging Course - Ethics - Kaplan |
| Michelle Sanchez | 2008 | 2000 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The Flinders University of South Australia ~ 2009 - Advanced Diploma of Financial Services ((Financial Planning) - Advanced Diploma (AQF 6) - Mentor Education ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2019 - Ethics and Professionalism in Advice - Bridging Course - Ethics - Kaplan |
| Momir Vuksa | 2024 | 2015 - Bachelor of Applied Finance - Bachelor Honours Degree (AQF 8) - University of South Australia ~ 2015 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - University of South Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - SMSF Specialist Adviser - Professional Designations - SMSF Association |
| Sam Robert Martin | 2005 | 2005 - Advanced Diploma of Financial Services (Financial Planning - Advanced Diploma (AQF 6) - Tribeca ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Tribeca ~ 2011 - DPML Margin Lending - - Pinnacle |
| Valeska Farrow | 2017 | 1997 - Bachelor of Business - Bachelor Degree (AQF 7) - University of South Australia ~ 2004 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Integratec ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2022 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan ~ 2023 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan |
| William James Chapman | 2011 | 2004 - Bachelor of Applied Finance - Bachelor Degree (AQF 7) - University of SA ~ 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |