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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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:
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 including:
basic deposit products;
deposit products other than basic deposit products; and
non-cash payment 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 |
|---|---|---|
| Amanda Kerry Freeman | 1998 | Diploma of Financial Planning - Deakin University |
| Anthony Torzillo | 2004 | Graduate Diploma of Applied Finance - Finsia |
| Benjamin Young | 2016 | Bachelor of Business - La Trobe University ~ DFP5 - Tax for Financial Advising - Kaplan Professional ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Master of Financial Analysis - La Trobe University ~ Self Managed Superannuation Fund - Kaplan |
| Can Umit Adas | 2007 | Bachelor of Finance - La Trobe University ~ Diploma of Financial Services (Financial Planning) - Tribeca ~ Self Managed Superannuation Funds - Kaplan |
| Catherine Jayne Winduss | 2002 | Bachelor of Commerce / Arts - Deakin University ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Financial Planning - Finsia |
| Charles Alexander Badenach | 2000 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association ~ Ethics and Professionalism in Finance Advice - Kaplan ~ Graduate Diploma of Applied Finance and Investment - Securities Institute of Australia ~ LRS - Life Risk Specialist - Financial Planning Association |
| Christopher Peter Mann | 1983 | Certificate in Rural Estate Planning - University of Adelaide ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Financial Planning Association |
| Darryn Paul Borg | 1992 | Diploma of Financial Planning - Deakin University |
| David James Woolford | 2011 | Bachelor Degree - Economics - University of Tasmania ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Services - Kaplan ~ Graduate Diploma - Financial Services - Kaplan Professional |
| Gavin Murray Thompson | 2000 | ALPA - Kaplan Professional ~ Bachelor of Economics - La Trobe University ~ Diploma of Financial Services (Financial Planning) - Tribeca (Kaplan Professional) ~ Margin Lending - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Gerard Peter Lowe | 1995 | Advanced Diploma of Financial Services - Deakin University |
| Gino Nardella | 2003 | Bachelor of Commerce - RMIT University ~ Certified Practising Accountant - CPA ~ RG146 - RMIT University |
| Jenny Sneesby | 2002 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University |
| Jessica Check | 2017 | Bachelor of Arts - Monash University ~ Bachelor of Commerce - Monash University ~ Self Managed Superannuation Funds - Mentor Education |
| Lyle Andrew Weir | 1998 | Bachelor of Commerce - Deakin University/ Financial Planning Association ~ Certified Financial Planner - Financial Planning Association ~ Graduate Certificate in Financial Planning - Securities Institute of Australia |
| Mark Gibson | 2003 | Bachelor of Business (Accounting) - La Trobe University ~ Certified Financial Planner - Financial Planning Association (FPA) ~ Diploma of Financial Planning - Deakin University/FPA |
| Mark Godfrey | 2010 | Bachelor of Commerce - University of Melbourne ~ Diploma of Financial Planning - Mentor Education Group ~ Master of Business Administration - University of Melbourne |
| Matthew Borg | 2018 | Bachelor of FInance - La Trobe University ~ DFP5v4 Tax for Financial Advising - Kaplan ~ SMSF - Kaplan ~ TASACLv2 Commercial Law - Kaplan |
| Nicholas Berry | 2013 | Bachelor of Commerce (Financial Planning & Finance) - Deakin University ~ Certificate IV in Finance & Mortgage Broking - Kaplan ~ Diploma of Finance and Mortgage Broking - Kaplan |
| Nikitin Lal | 2004 | Advanced Diploma of Financial Planning - Mentor Education / RG146 ~ Bachelor of Business Administration - Annamalai University ~ Certificate IV in Business (Frontline Management) - TAFE - Box Hill ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional (formerly FINSIA) ~ Ethics and Professionalism in Finance Advice - Kaplan |
| Paras Sikka | 0 | Bachelor of Commerce (Majoring in Accounting and Financial Planning) - Deakin ~ Financial Adviser Exam - ASIC |
| Paula Rachael Romberg | 2006 | Bachelor of Economics (HONS) - La Trobe University ~ Bachelor of Economics - La Trobe University ~ Certified Financial Planner - Financial Planning Association ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Rebecca Emilie Kate Fergusson | 1997 | Bachelor of Commerce - University of Tasmania ~ Certified Financial Planner - Financial Planning Association ~ Certified Practising Accountant - CPA ~ Diploma of Financial Planning - Financial Planning Association ~ Financial Planning Specialist - CPA |
| Renae Vercoe | 2006 | Bachelor of Commerce - Deakin University ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia ~ Self Managed Superannuation Funds - Kaplan Professional |
| Robert William Coulson | 2004 | Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - RMIT |
| Sapan Verma | 2005 | Graduate Certificate in Financial Planning - Finsia ~ Post Graduate Diploma in Accounting - Macquarie University ~ Self Managed Superannuation Funds - Kaplan Professional ~ Tier 1 Margin Lending - Personal Advice - Kaplan Professional |
| Sari Louise Goosey | 2008 | Bachelor of Business (Accounting) - Monash University ~ Certified Practising Accountant - CPA |
| Toni Deanne Sparkes | 1998 | Bachelor of Business (Accounting) - Monash University ~ Certified Financial Planner - Financial Planning Association ~ Graduate Diploma of Applied Finance and Investments (Investment Analysis) - Securities Institute ~ Graduate Diploma of Financial Planning - Securities Institute ~ Self Managed Superannuation Funds - Tribeca (Kaplan Professional) |