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 |
|---|---|---|
| Apostolos Paul Zobonos | 2002 | 2009 - Advanced Diploma of Financial Planning - - Kaplan ~ 2009 - CFP - - FPA ~ 2009 - SMSF - - Kaplan ~ 2010 - Margin Lending and Geared Investments - - Kaplan ~ 2012 - Certificate IV in Finance & Mortgage Broking - - Kaplan |
| Benjamin James O'neill | 2008 | 2006 - Bachelor of Business (Economics & Finance) - - RMIT University |
| Brendan Joseph O'brien | 2021 | 1992 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia Limited ~ 2002 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - Securities Institute Education ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional Education |
| Colette Pieniazek | 2017 | 2016 - Diploma of Financial Planning - - AAMC Training Group ~ 2017 - Self Managed Superannuation Funds - Other - Mentor Education ~ 2019 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Mentor Education ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| David Robert Sayer | 2008 | 2005 - Bachelor of Business - - Newcastle University ~ 2005 - Bachelor of Economics - - University of Newcastle ~ 2010 - Advanced Diploma Financial Services FP - - Kaplan ~ 2012 - SMSF Certificate - - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Deborah Kay Roscoe | 2012 | 1994 - Associate Diploma of Business (Accounting) - - TAFE ~ 1998 - Bachelor of Business - - University of Technology Sydney ~ 2008 - Diploma of Financial Planning - - Finsia |
| Dylan Arie Greenway | 2003 | 2003 - Diploma of Financial Services (Financial Planning) - - Integratec (Aust) Pty Limited ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jason William Smith | 2018 | 2004 - Bachelor of Commerce - - James Cook University ~ 2012 - Diploma of Finance and Mortgage Broking Management - - AAMC Training Group ~ 2017 - Diploma of Financial Planning - - Kaplan Professional ~ 2018 - Advanced Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2019 - Margin Lending - Other - Kaplan Professional |
| Jessica Boreta | 2006 | 2015 - Diploma of Finance & Mortgage Broking - Diploma (AQF 5) - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Mentor Education ~ 2016 - Cavendish & ICFS Specialist SMSF Course - - University of Adelaide ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith UNiversity ~ 2020 - Financial adviser exam - Other - FASEA |
| Kerry Liberona | 2017 | 2002 - Bachelor of Business (Finance) - - University of Technology Sydney ~ 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Financial Planning Association of Australia ~ 2016 - Self Managed Superannuation Fund Advisor (Personal Advice) - - Mentor Education ~ 2017 - Direct, International equities and Listed Income Securities - Other - Westpac ~ 2020 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University ~ 2024 - Certificate IV in Finance and Mortgage Broking - Certificate (AQF 1-4) - The National Finance Institute |
| Leonard William Charles Mccarthy | 2004 | 1992 - Certificate in Financial Markets - - Securities Institute ~ 2004 - Diploma Financial Services - - Integratech |
| Lochlan Stuhne-scott | 2018 | 2018 - Diploma of Financial Planning - - International Institute of Technology |
| Michael David Marodi | 2018 | 2017 - Bachelor of Business (Management) - - James Cook University ~ 2018 - DFP: Securities and Managed Investments - - Kaplan Professional ~ 2018 - Diploma of Financial Planning - - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Robert John Cumming | 1998 | 1989 - Bachelor of Agricultural Economics (Hons) - - The University of New England ~ 2000 - Diploma in Financial Planning - - Deakin University ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Russell Wadey | 1994 | 1993 - Bachelor of Business - - University of Technology Sydney ~ 1993 - Investment and Personal Financial Planning - - Investment Training College ~ 2000 - Diploma of Financial Planning - - Financial Planning Association ~ 2013 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Scott Palmer | 2016 | 2000 - Bachelor (Hons) of Financial Services - Bachelor Honours Degree (AQF 8) - University of Northumbria at Newcastle ~ 2003 - Masters of Global Financial Management - Masters Degree (AQF 9) - University of Northumbria at Newcastle ~ 2014 - Advanced Diploma in Financial Planning - Advanced Diploma (AQF 6) - Chartered Insurance Institute ~ 2024 - Financial adviser exam - Other - FASEA |
| Simon Harding | 2013 | 1997 - G60 Pensions - Other - Chartered Insurance Institute (CII) - UK ~ 2011 - Diploma in Financial Planning - Diploma (AQF 5) - Chartered Insurance Institute (CII) - UK ~ 2014 - Advanced Diploma of Financial Planning (FNS60410) - - Pinnacle Financial Services Academy ~ 2015 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2018 - ASX Accredited Listed Product Adviser - Other - Kaplan Professional Education |
| Simon Victor-gordon | 2013 | 2013 - Diploma of Financial Planning - - Integrity Education Group ~ 2013 - Diploma of Life Insurance - - Integrity Education Group ~ 2014 - Advanced Diploma of Financial Planning (Practice Management) - - Integrity Education Group |
| Tanya Scarfe | 2021 | 2019 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Royal Melbourne Institute of Technology |