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;
derivatives;
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;
derivatives;
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 |
|---|---|---|
| Alexander Bruce Cook | 1998 | 1997 - Bachelor of Commerce in Marketing - - The University of New South Wales ~ 1999 - Applied Finance and Investment - - Securities Institute ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2010 - Professional Certificate in Self-Managed Superannuation Funds - - The University of Adelaide |
| Andrew James Wolfe | 2012 | 2000 - Bachelor of Commerce Major in Accounting & Finance - - University of Western Australia ~ 2000 - Bachelor of Commerce – Major in Accounting & Finance - - University of Western Australia ~ 2004 - Chartered Accountant - - Institute of Chartered Accountants ~ 2014 - Diploma of Financial Planning - - Kaplan Professional Education |
| Carl Cavallaro | 2013 | 2004 - Diploma in International Business - - University of New England ~ 2006 - Bachelor of Commerce - - University of New England ~ 2008 - Diploma of Financial Services - - RG 146 ~ 2009 - Certificate IV Financial Services (Mortgage Broking) - - MFAA |
| Danny John Ellis | 2003 | 2003 - Entry Level Competencies - - Tribeca Learning ~ 2003 - Risk Management - - Tribeca Learning ~ 2004 - Diploma of Financial Services (Financial Planning) FNB50802 - - Deakin Financial Services Pty Ltd |
| Dean Burke O'hara | 2014 | 2014 - Diploma of Financial Planning - - Kaplan |
| Dylan Mail | 2003 | 1995 - Bachelor Of Commerce - - University Of Queensland ~ 2003 - Graduate Diploma of Financial Planning - - Securities Institute of Australia ~ 2015 - Accredited Listed Product Adviser Program - - Kaplan Professional Education |
| Joel Kevin Edelman | 2010 | 1998 - Bachelor of Technology - - Wits University South Africa ~ 2002 - Master of Business Administration - - Bond University ~ 2009 - Advanced Diploma of Financial Planning - - Kaplan ~ 2013 - Certificate IV Mortgage Broking - - Kaplan ~ 2016 - Certified Financial Planner - - Financial Planning Association |
| Joshua Stone | 2006 | 2016 - Diploma of Financial Planning - - Kaplan ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Julian Russell | 2007 | 2006 - Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - - Mentor Education Pty Ltd ~ 2009 - Master of Business Administration - - University of New South Wales (NSW) ~ 2010 - Certificate IV Financial Services (Finance/Mortgage Broking) - - Traineeship Management Australia (TMA) |
| Justin Pagotto | 2003 | 1997 - Bachelor of Commerce - - University of New South Wales ~ 2003 - Count Wealth Accountants Introductory Training - - Count Wealth ~ 2010 - Self Managed Superannuation Funds - - Kaplan ~ 2014 - Margin Lending and Geared Investments - - Kaplan ~ 2014 - Taxation Fundamentals - - Kaplan |
| Peter Lapthorne | 1999 | 2006 - Diploma of Financial Services (financial Planning) - - Tribeca ~ 2019 - Advanced Diploma of Financial Planning - - Mentor ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Philip Barclay Rofe | 2003 | 2000 - Master of Business Adminstration - - Bond University ~ 2007 - Accredited Derivatives Advisor 1&2 - Professional Designations - Kaplan ~ 2019 - Master of Financial Planning - Masters Degree (AQF 9) - UNSW ~ 2022 - FASEA ASIC Adviser Exam - Other - ASIC |
| Robert Chertok | 2017 | 2015 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Macquarie University ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Integrity Education Group ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - Master Of Financial Planning - Masters Degree (AQF 9) - Deakin University |
| Scott Anthony Everingham | 2000 | 2008 - Certified Financial Planner - Professional Designations - FPA ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Professional ~ 2013 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Susan Elizabeth Bryant | 1988 | 2007 - Diploma in Financial Services (Financial Planning) - - Tribeca |
| Thomas Euvrard | 2014 | 2011 - Diploma - Financial Planning - - Kaplan Professional ~ 2015 - Advanced Diploma of Financial Planning - - Kaplan ~ 2020 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University |