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 limited to:
old law securities options contracts and warrants;
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;
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 |
|---|---|---|
| Brenda Anne Lennon | 2018 | 1991 - Bachelor of Economics - - Sydney University ~ 1998 - Graduate Diploma in Investment and Applied Finance - - FINSIA ~ 2014 - Certificate IV in Bookkeeping - - TAFE ~ 2017 - Diploma of Financial Planning - - Kaplan ~ 2018 - Advanced Diploma of Financial Planning - - Kaplan |
| Brendon Matthew Vade | 2009 | 2009 - Bachelor of Business Administration - Bachelor Degree (AQF 7) - Macquarie University ~ 2010 - Certified Financial Planner - Professional Designations - Deakin University ~ 2010 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan ~ 2012 - Professional Certificate of Self Managed Superannuation Funds - Other - University of Adelaide |
| Joseph Portelli | 1998 | 1991 - Bachelor of Economics - - University of Sydney ~ 1997 - Diploma of Superannuation Management - - Association of Superannuation Funds of Australia ~ 1999 - Diploma of Financial Planning - CFP - - Deakin University ~ 2005 - Certificate of Applied SMSF Advice - - Australian Executor Trustees ~ 2010 - Certificate - Margin Lending & Geared Investments - - Kaplan |
| Katherine Jane Cramsie | 2004 | 1999 - Bachelor of Business - - University of Technology ~ 2002 - Diploma of Financial Planning - - Financial Planning Association of Australia ~ 2005 - CFP - Certified Financial Planner - - Financial Planning Association of Australia |
| Lisa Baumann | 2024 | 2021 - Bachelor of Business, Major in FInance and Financial Planning - Bachelor Degree (AQF 7) - Charles Sturt University |
| Penny Chai | 2000 | 1992 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Sydney ~ 1997 - Diploma of Superannuation Management - Diploma (AQF 5) - Association of Superannuation Funds of Australia Ltd (ASFA) ~ 2000 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) |
| Peter Howard Beins | 2006 | 1984 - Bachelor of Engineering - - University of NSW ~ 1994 - Master of Business Administration - - University of Technology, Sydney ~ 2007 - Graduate Diploma of Financial Planning - - FINSIA ~ 2022 - SSA - SMSF Specialist Accreditation - Professional Designations - SMSF |
| Que Hong Di-leo | 2004 | 2001 - Bachelor of Commerce (Economics and Finance) - Bachelor Degree (AQF 7) - University of Sydney ~ 2005 - Graduate Diploma in Financial Planning - Graduate Diploma (AQF 8) - Securities Institute ~ 2023 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Rick Walker | 2007 | 1998 - Bachelor of Economics - - Macquarie University ~ 2001 - Graduate Diploma in Applied Finance & Investment - - FINSIA ~ 2003 - Certified Practising Accountant (CPA) - - CPA Australia ~ 2007 - Diploma in Financial Planning - - CPA Australia ~ 2010 - Certified Financial Planner (CFP) - - FPA Australia |
| Tamsin Johanna Mcgarry | 2018 | 1998 - Bachelor of Economics - - Macquarie University ~ 2005 - Advanced Diploma of Financial Services FNS 60404 - - Kaplan Professional ~ 2005 - Diploma of Financial Services FNS50804 - - Kaplan Professional ~ 2008 - Certified Financial Planner - - Financial Planning Association of Australia |