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 | Advanced Diploma of Financial Planning - Kaplan ~ CFP - FPA ~ Certificate IV in Finance & Mortgage Broking - Kaplan ~ Margin Lending and Geared Investments - Kaplan ~ SMSF - Kaplan |
| Benjamin James O'neill | 2008 | Bachelor of Business (Economics & Finance) - RMIT University |
| Brendan Joseph O'brien | 2021 | Diploma of Financial Planning - Financial Planning Association of Australia Limited ~ Graduate Diploma in Applied Finance and Investment - Securities Institute Education ~ Graduate Diploma of Financial Planning - Kaplan Professional Education |
| Christopher Nadir Betalli | 2015 | Diploma of Financial Services - Kaplan Professional |
| Colette Pieniazek | 2017 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Planning - AAMC Training Group ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ Self Managed Superannuation Funds - Mentor Education |
| David Robert Sayer | 2008 | Advanced Diploma Financial Services FP - Kaplan ~ Bachelor of Business - Newcastle University ~ Bachelor of Economics - University of Newcastle ~ Ethics and Professionalism in Financial Advice - Kaplan Professional ~ SMSF Certificate - Kaplan |
| Deborah Kay Roscoe | 2012 | Associate Diploma of Business (Accounting) - TAFE ~ Bachelor of Business - University of Technology Sydney ~ Diploma of Financial Planning - Finsia |
| Dylan Arie Greenway | 2003 | Diploma of Financial Services (Financial Planning) - Integratec (Aust) Pty Limited ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Goran Velevski | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Economics and Finance) - Swinburne University of Technology ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ FPC002B Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Jason William Smith | 2018 | Advanced Financial Planning - Kaplan Professional ~ Bachelor of Commerce - James Cook University ~ Diploma of Finance and Mortgage Broking Management - AAMC Training Group ~ Diploma of Financial Planning - Kaplan Professional ~ Margin Lending - Kaplan Professional |
| Kerry Liberona | 2017 | Advanced Diploma of Financial Services (Financial Planning) - Financial Planning Association of Australia ~ Bachelor of Business (Finance) - University of Technology Sydney ~ Direct, International equities and Listed Income Securities - Westpac ~ Master of Financial Planning - Griffith University ~ Self Managed Superannuation Fund Advisor (Personal Advice) - Mentor Education |
| Leonard William Charles Mccarthy | 2004 | Certificate in Financial Markets - Securities Institute ~ Diploma Financial Services - Integratech |
| Lochlan Stuhne-scott | 2018 | Diploma of Financial Planning - International Institute of Technology |
| Michael David Marodi | 2018 | Bachelor of Business (Management) - James Cook University ~ DFP: Securities and Managed Investments - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Robert John Cumming | 1998 | Bachelor of Agricultural Economics (Hons) - The University of New England ~ Diploma in Financial Planning - Deakin University ~ Graduate Diploma of Financial Planning - Kaplan Professional |
| Russell Wadey | 1994 | Bachelor of Business - University of Technology Sydney ~ Diploma of Financial Planning - Financial Planning Association ~ Investment and Personal Financial Planning - Investment Training College ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Simon Harding | 2013 | ASX Accredited Listed Product Adviser - Kaplan Professional Education ~ Advanced Diploma of Financial Planning (FNS60410) - Pinnacle Financial Services Academy ~ Diploma in Financial Planning - Chartered Insurance Institute (CII) - UK ~ G60 Pensions - Chartered Insurance Institute (CII) - UK ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Simon Victor-gordon | 2013 | Advanced Diploma of Financial Planning (Practice Management) - Integrity Education Group ~ Diploma of Financial Planning - Integrity Education Group ~ Diploma of Life Insurance - Integrity Education Group |
| Tanya Scarfe | 2021 | Bachelor of Business (Financial Planning) - Royal Melbourne Institute of Technology |
| Travis Francis Stanley | 2015 | Advanced Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ Diploma of Financial Planning - Pinnacle Financial Services Academy Pty Ltd ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional Education |