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 |
|---|---|---|
| Andrew John Albury | 2002 | 1990 - Bachelor of Business - Bachelor Degree (AQF 7) - University of New England ~ 1994 - Fellow of CPA - - CPA Australia ~ 1995 - Chartered Tax Adviser - - Taxation Institute of Australia ~ 2002 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Ian William Fraser | 2025 | 2019 - Bachelor of Business - Bachelor Degree (AQF 7) - James Cook University ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| James Alexander Guthrie | 2018 | 2017 - Diploma of Financial Planning - Certificate (AQF 1-4) - Monarch Institute ~ 2019 - Bachelor of Business and Commerce - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 2020 - EFN520 Behavioural Client Management - Financial Planning (Capstone) - Bridging Course - Behavioural Finance - Queensland University of Technology ~ 2021 - AYN457 Financial Planning Principles and Regulation - Bridging Course - Regulation & Legal Obligations - Queensland University of Technology ~ 2022 - AYN458 Ethics and Professional Relationships - Bridging Course - Ethics - Queensland University of Technology ~ 2022 - EFN429 Investments Management - Graduate Certificate (AQF 8) - Queensland University of Technology ~ 2022 - Graduate Certificate in Business - Graduate Certificate (AQF 8) - Queensland University of Technology ~ 2025 - Tax for Financial Advising - Certificate (AQF 1-4) - Kaplan Higher Education Pty Limited |
| Michelle Dall'alba | 2005 | 2004 - Bachelor of Business (Management)/Bachelor of Economics - Bachelor Degree (AQF 7) - The University of Queensland ~ 2007 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Tribeca Learning (Aust) Pty Limited ~ 2010 - Graduate Diploma of Applied Finance - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited ~ 2011 - Certificate in Foundation Tax - Certificate (AQF 1-4) - The Tax Institute ~ 2011 - Margin Lending and Geared Investments Accreditation - Other - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Natalie Hoh | 2016 | 2011 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2013 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2019 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Deakin University ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Owen Korn | 2013 | 2009 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - Griffith University |
| Peter Joseph Cottell | 2007 | 1993 - Associate Diploma of Business (Banking and Finance) - - TAFE ~ 1999 - Bachelor of Business (Economics) - - University of Southern Queensland ~ 2003 - Graduate Diploma of Applied Finance and Investment - - Securities Institute of Australia ~ 2007 - Diploma of Financial Services (Financial Planning) - - Mentor Education ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional |
| Rachel Barlow | 1994 | 1991 - Bachelor of Business - Bachelor Degree (AQF 7) - University of Southern Queensland ~ 1995 - Graduate Diploma of Applied Finance and Investment - Graduate Diploma (AQF 8) - SIA ~ 2011 - Margin Lending and Geared Investments Accreditation - Other - Kaplan Higher Education Pty Limited ~ 2015 - Specialist SMSF Course - Other - Cavendish ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education ~ 2021 - Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Higher Education Pty Limited ~ 2025 - Economic and Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Higher Education Pty Limited |
| Robert David Parkinson | 2025 | 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Higher Education Pty Limited |
| Stephen Joseph Furness | 2008 | 1996 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2007 - SMSF Specialist - - Kaplan Professional Education ~ 2015 - Responsible Manager Accreditation - - Kaplan Professional Education ~ 2016 - Accredited Investment Fiduciary - - Fi360 Pacific ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited ~ 2025 - Tax for Financial Advising - Certificate (AQF 1-4) - Kaplan Higher Education Pty Limited |
| Stephen Richard Aldridge | 2000 | 1997 - Bachelor of Business (Management) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2002 - Diploma of Financial Planning - Advanced Diploma (AQF 6) - Financial Planning Association of Australia Limited ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2016 - Self Managed Superannuation Funds - Other - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education |
| Timothy Charles Whittle | 2025 | 2020 - Bachelor of Business (Financial Planning) - Bachelor Degree (AQF 7) - Queensland University of Technology |