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;
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;
derivatives;
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 |
|---|---|---|
| Brendan John Dilworth | 2023 | Bachelor of Business (Financial Planning) - Royal Melbourne Institute of Technology |
| Charles Ashley Felderhof | 2014 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Bachelor of Arts - University of Auckland (NZ) ~ Diploma of Financial Planning - International Institute of Technology |
| Christian Hammerle | 2016 | Bachelor of Business Management - Griffith University ~ Diploma of Financial Planning - Kaplan ~ FNSTPB506 & FNSTPB507 - Monarch Institute ~ Self Managed Superannuation Funds Subject - Kaplan Professional |
| Darius Telegaru | 2015 | Advanced Diploma of Financial Planning - International Institute of Technology ~ Bachelor of Commerce - Griffith University ~ FASEA - Ethics - Financial Adviser Standards and Ethics Authority ~ Margin Lending - Monarch Institute ~ Superannuation - SMSF - SUPERCONCEPTS |
| David Mitchell Yeates | 2001 | Advanced Diploma Financial Planning - AAMC Training Group ~ Advanced Diploma Financial Planning - AAMC Training Group ~ Bachelor of Commerce - Griffith University ~ Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - FPA ~ Diploma of Financial Services - Deakin University ~ Risk Management for Financial Services Professionals - Integratec ~ Self Managed Super Fund - Integrity Education Group |
| Frances Caba Griffin | 2015 | Diploma of Financial Planning - Kaplan |
| JY James Duffy | 2023 | Bachelor of Commerce - Griffith University ~ FASEA - ASIC ~ Financial Planning - Kaplan |
| James Michael Briscoe | 2023 | Graduate Diploma Financial Planning - Kaplan Professional |
| John Whelan | 2009 | Bachelor of Business Studies - Massey University NZ ~ Diploma of Business Studies (Personal Financial Planning) - Massey University NZ ~ PS 146 Securities,Futures & Managed Investments - Deakin University ~ PS 146 Superannuation - Securities Institute ~ Professional Diploma in Stockbroking - Deakin Prime |
| Kevin Andrew Wishart | 2017 | Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - Pinnacle Financial Services Academy |
| Lindley Jean Schneider | 2018 | Diploma of Financial Planning - International Institute of Technology ~ Graduate Diploma of Financial Planning - Kaplan Higher Education |
| Rakesh Stephen Vigh | 2002 | Bachelor of Business (Accounting) - Queensland University of Technology ~ Bachelor of Business (Management) - Queensland University of Technology ~ Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Financial Planning Association of Australia |
| Vaughn Jerik Ruidera Buendicho | 2016 | Bachelor of Commerce - Griffith University ~ Diploma of Financial Planning - Pinnacle Financial Services Academy |
| Yasmini Armenis | 2024 | Bachelor of Commerce - Griffith University ~ Ethics and Professionalism in Financial Planning - KAPLAN Professional |