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;
standard margin lending facility; 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;
securities;
standard margin lending facility; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Adam William Carey | 1995 | Bachelor of Arts - Sydney University ~ Diploma of Financial Planning - Pinnacle Financial Services Academy |
| Allan Taylor | 2006 | Aged Care Steps - Accredited Aged Care Professional ~ Estate Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional ~ Taxation Planning - Kaplan Professional |
| Benjamin Adrian Trim | 2012 | Bachelor Of Commerce - Griffith University ~ Master of Fin Planning - Griffith University |
| Bruno Festa | 2004 | Diploma of Financial Services - Kaplan |
| Craig Bruce Prosser | 2009 | Advanced Diploma of Financial Services - Kaplan ~ Margin Lending - Kaplan ~ Master of Financial Planning - Kaplan |
| Darren Pritchett | 2006 | Advanced Diploma of Financial Services - Tribeca ~ Bachelor of Commerce - University of Western Sydney ~ Certified Financial Planner - FPA ~ Diploma of Financial Services - Tribeca |
| Glenn Paul Meilak | 2004 | DFP 1 Financial Planning and Wealth Creation - Securities Institute ~ DFP 2 Risk Management and Insurance Products - Securities Institute ~ DFP 3 Investment Planning - Kaplan ~ DFP 4 Superannuation: Advice and Regulations - Securities Institute |
| John Andrew Mckay | 2003 | Diploma of Financial Planning - FPA |
| John Stamatakis | 2009 | Diploma of Financial Services - PS146 Training Australia ~ Margin Lending - Kaplan |
| Judith Van Oort-pieck | 2004 | Certificate Estate Planning - Tribeca ~ Certificate IV in Financial Planning - Integratec ~ Diploma of Financial Services (Financial Planning) - Integratec ~ LL.B - Leyden University ~ Taxation Module of the Advanced Diploma of Financial Services - Integratec |
| Mark Basili | 2005 | Bachelor of Commerce - University of Western Sydney ~ Diploma of Financial Services (Financial Planning) - Kaplan ~ Graduate Diploma in Financial Planning - Securities Institute of Australia ~ Margin Lending & Geared Investments - Kaplan |
| Matthew Eric Connell | 2006 | Advanced Diploma of Financial Services - FINSIA ~ Self Managed Super Funds - Kaplan |
| Matthew Henri Mcbride | 2009 | Advanced Diploma of Financial Planning - Integrity Education Group ~ Bachelor of Business (Finance) - University of Technology Sydney ~ Diploma of Financial Services - Tribeca ~ FNSSS00006 - Commercial Law for Tax (Financial) Advisers Skill Set - Mentor Education ~ Margin Lending & Geared Investments - Kaplan |
| Michael David Voss | 2003 | Diploma of Financial Planning CFP - FPA |
| Michael James Matheson | 2004 | Certificate of Competancy: PS146 - Financial Services Training & Assessment |
| Noel Kevin Bailey | 1998 | Certificate IV Financial Planning - Integratec |
| Paul George David Richardson | 2009 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Diploma of Financial Planning - Kaplan ~ Specialist SMSF Course - Terra Cordis |
| Pieter Hendrik Botha | 2012 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Mentor Education ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self Managed Superannuation Funds - Mentor Education |
| Rodney George Goodall | 2009 | Diploma Financial Services - Kaplan |
| Sallyanne Cook | 2013 | Advanced Diploma of Financial Planning - Pinnacle ~ Bachelor of Business - UTS ~ Diploma of Financial Planning - Pinnacle ~ Masters of Applied Finance - Macquarie University |
| Scott James Bullock | 2004 | Diploma of Financial Planning - Financial Planning Association of Australia ~ Margin Lending - Kaplan Education Pty Ltd ~ Self Managed Superannuation Funds - Kaplan Education Pty Ltd |
| Tarnia Gurney | 2005 | Advanced Diploma Modules 1 - 4 - Various (ThreeSixty Adviser Campus & RG146 Training Australia) ~ Certificate IV in Business (Frontline Management) - HGT Australia Ltd ~ Diploma of Financial Services (Financial Planning) - ThreeSixty Adviser Campus |
| Varanjot Bhinder | 2011 | Diploma of Financial Services - Investment Banking Institute |