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; and
superannuation; and
deal in a financial product by:
arranging for another person to apply for, acquire, vary or dispose of financial products in respect of 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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Alexander George Single | 0 | 2016 - Bachelor of Agricultural Economics - Bachelor Degree (AQF 7) - University of Sydney ~ 2021 - RGS146 - Other - Kaplan ~ 2023 - Masters of Financial Planning - Masters Degree (AQF 9) - University of Technology Sydney |
| Andrei Chorokhov | 2012 | 2009 - Master of International Business - Masters Degree (AQF 9) - Macquarie University ~ 2012 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Professional ~ 2014 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2020 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Angus Mcintyre Dockrill | 2001 | 2002 - Bachelor of Commerce - Bachelor Degree (AQF 7) - University of Sydney ~ 2003 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2005 - Graduate Diploma in Applied Finance and Investment - Graduate Diploma (AQF 8) - FINSIA ~ 2006 - Certified Financial Planner (CFP) - Certificate (AQF 1-4) - FPA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Daniel John Blatch | 2011 | 2003 - Bachelor Applied Science - Bachelor Degree (AQF 7) - University of Sydney ~ 2008 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - Kaplan Australia ~ 2013 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Joanne Matia Matthews | 2012 | 2003 - Diploma Of Financial Planning - - Financial Planning Association Of Australia ~ 2016 - Self Managed Super Funds - - Kaplan Professional Education |
| John Foley | 1998 | 1994 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Adelaide ~ 2001 - Diploma Financial Planning DFP 1-7 - Diploma (AQF 5) - Financial Planning Association (FPA) ~ 2005 - Advanced Diploma of Financial Planning FNB60402 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2008 - Master of Business Administration - Masters Degree (AQF 9) - Deakin University ~ 2009 - Master of Management - Masters Degree (AQF 9) - Macquarie University |
| Lisette Anne Walsh | 2005 | 2005 - Diploma Financial Services (Financial Planning) FNS50802 - Diploma (AQF 5) - MLC ThreeSixty ~ 2007 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2016 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) |
| Scott James Douglas | 1999 | 1991 - Bachelor Commerce (Accounting) - Bachelor Degree (AQF 7) - Western Sydney University ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Vincent Patrick Dore | 2000 | 2000 - Diploma of Financial Planning (DFP 1-8) - Advanced Diploma (AQF 6) - Financial Planning Association (FPA) ~ 2008 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2011 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Zoe Bastian | 0 | 2023 - Graduate Diploma Financial Planning - Graduate Diploma (AQF 8) - Kaplan |