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 | 1997 - Graduate Certificate in Management - - Charles Sturt University ~ 2010 - Margin Lending & Geared Investments - - Kaplan ~ 2011 - SMSF Specialist Advisor - - SMSF Association ~ 2012 - ASX Accredited Listed Product Adviser - - Kaplan ~ 2019 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Christopher Glenn Fellas | 1999 | 1999 - OTC Dealer Accreditation - - Australian Financial Markets Association ~ 2000 - Diploma of Financial Markets - - Securities Institute of Australia ~ 2001 - ADA1 Derivatives Accreditation - - ASX ~ 2009 - Diploma of Financial Services - - MLC |
| Daniel Barnabas Cunningham | 2011 | 2008 - Diploma Financial Services (Financial Planning) FNS50804 - Diploma (AQF 5) - MLC ThreeSixty ~ 2012 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty ~ 2016 - Advanced Diploma Financial Planning FNS60410 - Advanced Diploma (AQF 6) - Integrity Education Group |
| Geoffrey Robert Aitken | 1994 | 2012 - Certificate IV of Finance & Mortgage Broking - - The National Finance Institute ~ 2012 - Diploma of Financial Services - - International Institute of Technology ~ 2012 - Six Sigma Yellow Belt, Green Belt, Lean and DFSS Certified - - Aveta Business School ~ 2018 - Advanced Diploma of Financial Planning - - International Institute of Technology ~ 2018 - Diploma of Financial & Mortgage Broking - - The National Finance Institute |
| Georgia Paige Sykes | 2022 | 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2022 - SMSF Specialist Course - Other - SuperConcepts/University of Adelaide |
| James Neville Ballin | 2013 | 2007 - Bachelor of Business (Applied Economics & Resources Management) - - University of Southern Queensland ~ 2011 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2016 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| John David Guthrie | 2007 | 2005 - Diploma Financial Services (Financial Planning) FNB50802 - Diploma (AQF 5) - MLC ThreeSixty ~ 2006 - Certified Financial Planner (CFP) - Professional Designations - Financial Planning Association (FPA) ~ 2008 - Advanced Diploma Financial Services (Financial Planning) FNS60404 - Advanced Diploma (AQF 6) - MLC ThreeSixty ~ 2010 - RG146 Margin Lending - Diploma (AQF 5) - MLC ThreeSixty |
| Jonathan Michael Rooney | 1999 | 2000 - CFP - Professional Designations - FPA ~ 2003 - Diploma of Financial Planning - Diploma (AQF 5) - FPA ~ 2010 - SMSF - Other - FPA ~ 2011 - Margin Lending & Geared Investments - Other - Kaplan ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Jonathon Gregory Mannion | 2008 | 1998 - Bachelor of Commerce - - University of South Africa (South Africa) ~ 2011 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional Education |
| Juan Salvador Solis Santacruz | 2018 | 2014 - Bachelor of Business (Marketing) - - Central Queensland University ~ 2015 - Diploma and Advanced Diploma of Financial Planning - - Monarch Institute ~ 2016 - MBA (Financial Management) - - Central Queensland University ~ 2018 - Masters of Professional Accounting - - Central Queensland University |
| Karen DE LA Pena Truman | 2015 | 2013 - Bachelor of Business Analysis - Bachelor Degree (AQF 7) - University of Waikato ~ 2015 - Diploma of Financial Planning - - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - - Kaplan Professional |
| Kerrod Michael Taylor Holland | 2023 | 2022 - Bachelor of Economics (Economic Development) - Bachelor Degree (AQF 7) - University of New England ~ 2023 - Graduate Diploma of Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional |
| Meaghan Jane Johns | 1998 | 2008 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Education Pty Ltd ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Education Pty Ltd ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Peter Walters | 2011 | 2010 - Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) ~ 2012 - Bachelor of Commerce (Finance) - - University of Southern Queensland (USQ) |
| RY Stanes | 2004 | 2004 - Diploma - Financial Planning - - Kaplan ~ 2006 - Advanced Diploma - Financial Planning - - Kaplan ~ 2008 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| Richie John Parsons | 1993 | 1991 - Certified in Financial Markets - - Securities Institute of Australia ~ 1994 - Gradutate Diploma in Applied Finance and Investments - - Securities Institute of Australia ~ 1997 - Certified Financial Planner - - FPA ~ 2010 - Cert IV - Financial Services (Finance/Mortgage) - - AAMC |
| Robert Daniel | 1981 | 2004 - Diploma of Financial Services (Financial Planning) - - Integratec (Australia) Pty Ltd ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - International Institute of Technology Pty Ltd (IIT) |
| Sarah Ann Falkinder | 2018 | 2007 - Bachelor in Commerce - - University of Ballarat ~ 2010 - CPA Professional Program - - CPA Australia ~ 2015 - RG146 Compliance Units - - Kaplan International |
| Stanley Roswell Moffatt | 2001 | 1992 - Bachelor of Commerce - - Griffith University ~ 1992 - Postgraduate Diploma in Advanced Accounting - - The University of Queensland ~ 2003 - Graduate Diploma of Applied Finance and Investment - - Securities Institute ~ 2015 - SMSF Specialisation Course - - UNSW Australia |
| Stephen James Morfesse | 2018 | 2007 - Bachelor of Business (Accountancy) - - Royal Melbourne Institute of Technology ~ 2013 - Diploma of Financial Planning - - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan ~ 2019 - Securities and Managed Investments - - Kaplan |