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 | Bachelor of Commerce - The University of Adelaide ~ CPA Program - CPA ~ Diploma of Financial Planning - Pinnacle Financial Services Academy ~ Margin Lending - Pinnacle Financial Services Academy ~ Self - Managed Superannuation Funds - Pinnacle Financial Services Academy |
| David Charles Middleton | 1987 | Bachelor of Commerce - University of New South Wales ~ Certified Financial Planner - Financial Planning Association |
| Helen Dundon | 2002 | CPA (Financial Planning Specialist) - CPA Australia ~ Certified Financial Planner (CFP) - Financial Planning Association of Australia (FPA) ~ Certified Financial Planner (CFP®) - Financial Planning Association of Australia (FPA) ~ Margin Lending and Geared Investments - Kaplan Professional ~ SMSF Specialist Advisor - SPAA SMSF Professionals Association of Australia ~ Tax (Financial) Adviser - Tax Practitioners Board |
| James Richard Thomas | 2013 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| Kate Dundon | 2016 | Advanced Diploma Financial Planning - Kaplan ~ Bachelor of Psychological Science - University South Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ SMSF Association Specialist Member Accreditation Program - SMSF Association |
| Lachlan Pride Mcqueen | 2014 | Bachelor of Business Administration & Applied Finance - University SA ~ Certified Financial Planner - Financial Planning Assoc ~ Graduate Diploma of Applied Finance - Kaplan Professional Education ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Liam John Haren | 2022 | Bachelor of Economics - University of Adelaide ~ Bachelor of Finance - University of Adelaide ~ Financial Planning - Kaplan |
| Matthew John Stobart | 1998 | Bachelor of Commerce Degree - Flinders University of South Australia ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University/ Financial Planning Association |
| Michael Giles Orchard | 0 | Graduate Diploma of Financial Planning - Kaplan |
| Mikhail Pivnik | 2023 | Bachelor of Finance - Adelaide University ~ Grad Dip Financial Planning - Kaplan ~ Margin Lending Specialist - Kaplan ~ Self Managed Super Funds - Kaplan Professional |
| Nicholas John Loxton | 1990 | Advanced Financial Planning - Independent Centre of Financial Planning ~ Certified Financial Planner - Financial Planning Association ~ Diploma of Financial Planning - Deakin University/ Financial Planning Association ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ SMSF Specialist Adviser - SMSF Association |
| Nicole Lisa Higgins | 2014 | Bachelor of Business (Economics and Marketing) - Swinburne University, Melbourne ~ Diploma of Financial Planning - Kaplan Education Pty Ltd ~ Securities & Managed Investments Accreditation Program - Deakin Prime ~ Self Managed Superannuation Funds - Kaplan Professional |
| Oliver Temme | 2013 | Accredited Listed Product Adviser Program - Kaplan ~ Bachelor of Commerce - University of Adelaide ~ Graduate Diploma of Financial Planning - KAPLAN Professional ~ Margin Lendng and Geared Investments - Kaplan |
| Patsy-ann Karapas | 2010 | Diploma of Financial Planning - Deakin University/ Financial Planning Association ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional Education ~ Professional Certificate in Self Managed Superannuation Funds - Adelaide University ~ SMSF Specialist Advisor - SMSF Association |