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 |
|---|---|---|
| Adrian Zoppa | 2002 | 1999 - Bachelor of Commerce (Accounting) - - University of Adelaide ~ 2000 - Bachelor of Finance - - University of Adelaide ~ 2001 - Bachelor of Commerce (Honours) (First Class) - - Flinders University ~ 2004 - Graduate Diploma in Financial Planning - - Securities Institute of Australia ~ 2006 - CFP Certification Program - - Financial Planning Association of Australia |
| Cooper William Mcrae | 2022 | 2020 - Business (Economics, Finance & Trade) - Bachelor Degree (AQF 7) - Uni SA ~ 2020 - Business (Financial Planning) - Bachelor Degree (AQF 7) - Uni SA ~ 2021 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Craig Geoffrey Scroop | 2014 | 2006 - Bachelor of Commerce - - Flinders University ~ 2009 - Graduate Diploma of Applied Finance - - Kaplan Professional Education ~ 2015 - CFP Certification Program - - Financial Planning Association of Australia |
| Daman Jeffrey Arthur | 2011 | 2005 - Bachelor of Commerce - - University of Adelaide ~ 2007 - Graduate Diploma Global Wealth Management - - University of Adelaide ~ 2014 - Certified Financial Planner - - Financial Planning Association of Australia |
| Darren Paul Searle | 2009 | 2003 - Bachelor of Commerce (Accounting) - - University of South Australia ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2014 - CPA Program - - CPA Australia |
| Edmund Chen | 0 | 2004 - Bachelor of Finance - Bachelor Degree (AQF 7) - The University of Adelaide ~ 2008 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - FINSIA ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Emma Burckhardt | 0 | 2009 - Graduate Diploma of Applied Finance Majoring in Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2021 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2023 - Taxation for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional |
| Geoff Choy | 2008 | 2003 - Bachelor of Finance - - University of Adelaide ~ 2003 - Bachelor of Mathematics (Computer Science) - - University of Adelaide ~ 2008 - Graduate Diploma of Financial Planning - - Financial Services Institute of Australia ~ 2010 - CFP Certification Program - - Financial Planning Association of Australia ~ 2013 - CFA Program - - Chartered Financial Analyst Institute |
| Jackson Thomas Harvey | 2022 | 2017 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2018 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2018 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - University of South Australia ~ 2020 - BUSS 5447 UO Ethics and Professionalism - Bridging Course - Ethics - University of South Australia |
| Jake Ryan Mounfield | 0 | 2021 - Bachelor of Accounting and Finance (Advanced Leadership) - Bachelor Degree (AQF 7) - Flinders University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Jan-carel Mentz Botha | 2007 | 2003 - Compliance Officer Examination - Other - Johannesburg Stock Exchange ~ 2007 - Bachelor of Commerce with specialisation in Economics - Bachelor Degree (AQF 7) - University of South Africa ~ 2009 - Post Graduate Diploma in Financial Planning - Other - University of the Free State ZAR ~ 2016 - Chartered Financial Analyst Level 1 - Other - Chartered Financial Analyst Institute ~ 2020 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Marie Antoinette Corazon Hautea | 0 | 2007 - Bachelor of Arts - Bachelor Degree (AQF 7) - Ateneo De Manila University ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Mark Andrew Mullins | 2008 | 2001 - Bachelor of Business Administration - - Wichita State University ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional |
| Maurizio Francesco Arturo Nistico | 1985 | 1995 - CFP Certification Program - Professional Designations - Financial Planning Association of Australia ~ 2001 - Diploma of Financial Planning - - Financial Planning Association (FPA) ~ 2012 - SMSF Specialist Advisor - Professional Designations - Self Managed Super Fund Association ~ 2019 - Grad Cert in Financial Planning - Graduate Certificate (AQF 8) - Griffith University ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Griffith University |
| Susan LY | 2007 | 2004 - Bachelor of Economics - - University of Adelaide ~ 2004 - Bachelor of Finance - - University of Adelaide ~ 2005 - Certificate 4 in Financial Services - - Association of Superannuation Funds of Australia ~ 2007 - Graduate Certificate of Financial Planning - - Financial Services Institute of Australia ~ 2013 - CFP Certification Program - - Financial Planning Association of Australia |