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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; 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;
interests in managed investment schemes limited to:
MDA services;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Aaron John Cullen | 2009 | 2009 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional |
| Adam Drinkwater | 2014 | 2006 - Bachelor of Arts (Business) - - Liverpool John Moores University ~ 2006 - Bachelor of Arts - Bachelor Degree (AQF 7) - Liverpool John Moores University ~ 2013 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning - - Pinnacle ~ 2014 - Advanced Diploma of Financial Planning - - Pinnacle Financial Services Academy |
| Amanda Renee Halse | 2018 | 2012 - Diploma of Financial Planning - - International Institute of Technology ~ 2017 - Accredited Aged Care Professional - - Aged Care Steps ~ 2018 - Graduate Diploma of Financial Planning - - Kaplan Professional |
| David William Rodgers | 2002 | 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2022 - MAI769 Ethics for Financial Services - Bridging Course - Ethics - Deakin University |
| Douglas Andrew Gordon Henderson | 2003 | 1994 - Bachelor of Arts in Service Sector Management - - Glasgow Caledonian University ~ 2006 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2009 - Graduate Certificate in Applied Finance - - Kaplan ~ 2010 - DPML Margin Lending - - Pinnacle Services Academy ~ 2015 - Self Managed Superannuation Funds - - Mentor |
| Gary Simon Cooper | 2014 | 1990 - Bachelor of Commerce (Hons.) - - Rhodes University ~ 2003 - Chartered Accountant - - ICAA (now CA) ~ 2011 - Diploma in Financial Services (Financial Planning) (RG146) - - Kaplan Professional ~ 2014 - SMSF Auditor - - ASIC ~ 2022 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| James Lonergan | 2004 | 2005 - Advanced Diploma of Financial Services (Financial Planning) - - Tribeca ~ 2011 - Graduate Diploma in Applied Finance (Financial Planning) - - Kaplan Professional |
| Jesse Leighton Rodney Phillips | 2012 | 2009 - Risk Management - - Kaplan ~ 2011 - Taxation Planning - - Kaplan ~ 2017 - DFP5v3 Tax for Financial Advising (Short Answer Exam) - - Kaplan ~ 2017 - TASACLv1 Commercial Law - - Kaplan ~ 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Griffith University |
| Kieren O'keefe | 2024 | 2023 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Mark Nagle | 2001 | 2004 - Diploma of Financial Planning - - Deakin University |
| Robert Mark Hayward | 2009 | 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2009 - Diploma of Financial Services - Financial Planning - - Kaplan ~ 2011 - Bachelor of Commerce - - Griffith University ~ 2011 - Bachelor of Commerce - Financial Planning - - Griffith University ~ 2012 - Self Managed Superannuation Funds - - Kaplan |
| Siyu LI | 2024 | 2023 - Graduate Diploma in Business (Financial Planning) - Graduate Diploma (AQF 8) - Queensland University of Technology |
| Timothy Ross | 1990 | 2008 - Diploma of Financial Services (Financial Planning) - - Kaplan ~ 2015 - SMSF Specialist Accreditation - - Mentor Education |