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;
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 |
|---|---|---|
| Brett Matthew Armfield | 2015 | 1997 - Bachelor of Commerce - Bachelor Degree (AQF 7) - The University of Adelaide ~ 2001 - CPA Program - Professional Designations - CPA ~ 2014 - Diploma of Financial Planning - Diploma (AQF 5) - Pinnacle Financial Services Academy ~ 2014 - Margin Lending - Other - Pinnacle Financial Services Academy ~ 2014 - Self - Managed Superannuation Funds - Other - Pinnacle Financial Services Academy |
| David Charles Middleton | 1987 | 1974 - Bachelor of Commerce - - University of New South Wales ~ 1993 - Certified Financial Planner - - Financial Planning Association |
| Helen Dundon | 2002 | 2004 - CPA (Financial Planning Specialist) - - CPA Australia ~ 2005 - Certified Financial Planner (CFP) - - Financial Planning Association of Australia (FPA) ~ 2005 - Certified Financial Planner (CFP®) - - Financial Planning Association of Australia (FPA) ~ 2011 - Margin Lending and Geared Investments - - Kaplan Professional ~ 2012 - SMSF Specialist Advisor - - SPAA SMSF Professionals Association of Australia ~ 2017 - Tax (Financial) Adviser - - Tax Practitioners Board |
| James Richard Thomas | 2013 | 2012 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2013 - Advanced Diploma of Financial Planning - - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Kate Dundon | 2016 | 2012 - Bachelor of Psychological Science - Bachelor Degree (AQF 7) - University South Australia ~ 2017 - Advanced Diploma Financial Planning - Advanced Diploma (AQF 6) - Kaplan ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2020 - SMSF Association Specialist Member Accreditation Program - Professional Designations - SMSF Association ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Lachlan Pride Mcqueen | 2014 | 2009 - Bachelor of Business Administration & Applied Finance - - University SA ~ 2013 - Graduate Diploma of Applied Finance - - Kaplan Professional Education ~ 2016 - Certified Financial Planner - Professional Designations - Financial Planning Assoc ~ 2016 - Self Managed Superannuation Funds - - Kaplan Professional Education |
| Liam John Haren | 2022 | 2018 - Bachelor of Economics - Bachelor Degree (AQF 7) - University of Adelaide ~ 2018 - Bachelor of Finance - Bachelor Degree (AQF 7) - University of Adelaide ~ 2021 - Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Matthew John Stobart | 1998 | 1996 - Bachelor of Commerce Degree - - Flinders University of South Australia ~ 1998 - Diploma of Financial Planning - - Deakin University/ Financial Planning Association ~ 2000 - Certified Financial Planner - - Financial Planning Association |
| Michael Giles Orchard | 2024 | 2022 - Bachelor of Business (Finance) - Bachelor Degree (AQF 7) - University of South Australia ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |
| Mikhail Pivnik | 2023 | 2018 - Bachelor of Finance - Bachelor Degree (AQF 7) - Adelaide University ~ 2021 - Grad Dip Financial Planning - Graduate Diploma (AQF 8) - Kaplan ~ 2022 - Self Managed Super Funds - Other - Kaplan Professional ~ 2023 - Margin Lending Specialist - Other - Kaplan |
| Nicholas John Loxton | 1990 | 1993 - Advanced Financial Planning - - Independent Centre of Financial Planning ~ 1998 - Certified Financial Planner - - Financial Planning Association ~ 1999 - Diploma of Financial Planning - - Deakin University/ Financial Planning Association ~ 2015 - SMSF Specialist Adviser - - SMSF Association ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Nicole Lisa Higgins | 2014 | 1993 - Bachelor of Business (Economics and Marketing) - - Swinburne University, Melbourne ~ 2014 - Securities & Managed Investments Accreditation Program - - Deakin Prime ~ 2018 - Diploma of Financial Planning - - Kaplan Education Pty Ltd ~ 2019 - Self Managed Superannuation Funds - - Kaplan Professional |
| Oliver Temme | 2013 | 2003 - Bachelor of Commerce - - University of Adelaide ~ 2011 - Graduate Diploma of Financial Planning - - KAPLAN Professional ~ 2011 - Margin Lendng and Geared Investments - - Kaplan ~ 2019 - Accredited Listed Product Adviser Program - - Kaplan |
| Patsy-ann Karapas | 2010 | 1999 - Diploma of Financial Planning - - Deakin University/ Financial Planning Association ~ 2010 - Margin Lending & Geared Investments - - Kaplan Professional Education ~ 2012 - Professional Certificate in Self Managed Superannuation Funds - - Adelaide University ~ 2020 - SMSF Specialist Advisor - Professional Designations - SMSF Association ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |