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;
derivatives;
foreign exchange contracts;
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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
derivatives; and
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;
derivatives;
foreign exchange contracts;
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 |
|---|---|---|
| Andrew Paul Trinick | 2000 | ASX Accredited Listed Product Adviser - Kaplan ~ Advanced Diploma of Financial Planning - Kaplan Professional ~ Graduate Certificate in Management - Charles Sturt University ~ Margin Lending & Geared Investments - Kaplan ~ SMSF Specialist Advisor - SMSF Association |
| Christopher Glenn Fellas | 1999 | ADA1 Derivatives Accreditation - ASX ~ Diploma of Financial Markets - Securities Institute of Australia ~ Diploma of Financial Services - MLC ~ OTC Dealer Accreditation - Australian Financial Markets Association |
| Daniel Barnabas Cunningham | 2011 | Advanced Diploma Financial Planning FNS60410 - Integrity Education Group ~ Diploma Financial Services (Financial Planning) FNS50804 - MLC ThreeSixty ~ RG146 Margin Lending - MLC ThreeSixty |
| Geoffrey Robert Aitken | 1994 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Certificate IV of Finance & Mortgage Broking - The National Finance Institute ~ Diploma of Financial & Mortgage Broking - The National Finance Institute ~ Diploma of Financial Services - International Institute of Technology ~ Six Sigma Yellow Belt, Green Belt, Lean and DFSS Certified - Aveta Business School |
| Georgia Paige Sykes | 2022 | Graduate Diploma of Financial Planning - Kaplan Professional ~ SMSF Specialist Course - SuperConcepts/University of Adelaide |
| James Neville Ballin | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business (Applied Economics & Resources Management) - University of Southern Queensland ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| John David Guthrie | 2007 | Advanced Diploma Financial Services (Financial Planning) FNS60404 - MLC ThreeSixty ~ Certified Financial Planner (CFP) - Financial Planning Association (FPA) ~ Diploma Financial Services (Financial Planning) FNB50802 - MLC ThreeSixty ~ RG146 Margin Lending - MLC ThreeSixty |
| Jonathan Michael Rooney | 1999 | CFP - FPA ~ Diploma of Financial Planning - FPA ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Margin Lending & Geared Investments - Kaplan ~ SMSF - FPA |
| Juan Salvador Solis Santacruz | 2018 | Bachelor of Business (Marketing) - Central Queensland University ~ Diploma and Advanced Diploma of Financial Planning - Monarch Institute ~ MBA (Financial Management) - Central Queensland University ~ Masters of Professional Accounting - Central Queensland University |
| Karen DE LA Pena Truman | 2015 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Business Analysis - University of Waikato ~ Diploma of Financial Planning - Kaplan Professional |
| Meaghan Jane Johns | 1998 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Ltd ~ Diploma of Financial Services (Financial Planning) - Kaplan Education Pty Ltd ~ Graduate Diploma of Financial Planning - Kaplan |
| Peter Walters | 2011 | Bachelor of Commerce (Finance) - University of Southern Queensland (USQ) ~ Diploma of Financial Services (Financial Planning) - International Institute of Technology Pty Ltd (IIT) |
| RY Stanes | 2004 | Advanced Diploma - Financial Planning - Kaplan ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma - Financial Planning - Kaplan |
| Richie John Parsons | 1993 | Cert IV - Financial Services (Finance/Mortgage) - AAMC ~ Certified Financial Planner - FPA ~ Certified in Financial Markets - Securities Institute of Australia ~ Gradutate Diploma in Applied Finance and Investments - Securities Institute of Australia |
| Sarah Ann Falkinder | 2018 | Bachelor in Commerce - University of Ballarat ~ CPA Professional Program - CPA Australia ~ RG146 Compliance Units - Kaplan International |
| Stephen James Morfesse | 2018 | Advanced Diploma of Financial Planning - Kaplan ~ Bachelor of Business (Accountancy) - Royal Melbourne Institute of Technology ~ Diploma of Financial Planning - Kaplan ~ Securities and Managed Investments - Kaplan |