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;
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;
interests in managed investment schemes limited to:
MDA 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:
issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
interests in managed investment schemes limited to:
MDA services; and
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;
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;
interests in managed investment schemes limited to:
MDA 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 |
|---|---|---|
| Clare Elizabeth Sullivan | 2004 | 2005 - Diploma of Financial Services (FP) - - Tribeca Learning ~ 2009 - Advanced Diploma of Financial Services (FP) - - Kaplan Professional Education ~ 2012 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2016 - Fellow Chartered Financial Practitioner - - Association of Financial Advisers ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| David Keith Brown | 1988 | 1978 - Bachelor of Business - - Queensland University of Technology ~ 2002 - Diploma of Financial Planning - - Deakin University |
| David Ronald Noyes | 2002 | 2004 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2010 - Certificate 4 Financial Services (Finance/Mortgage Broking) - - FARSTA ~ 2011 - Commissioner of Declarations - - Qld Government ~ 2015 - Advanced Diploma of Financial Plannin - - Mentor Education ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Gregory Paul Tindall | 2003 | 2000 - Bachelor Of Professional Studies - - The University of New England ~ 2002 - Master of Commerce (Applied Finance) - Masters Degree (AQF 9) - University of Qld ~ 2006 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2007 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Helen Carinus | 2014 | 2001 - Bachelor Arts (Business Studies) - - Bournemouth University (UK) ~ 2009 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2010 - Advanced Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Jody-ann Alexander | 2022 | 2019 - Bachelor of Commerce (Financial Planning) - Bachelor Degree (AQF 7) - USC ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan ~ 2024 - SMSF Specialist Advisor Program - Other - SMSF Association |
| Katie-louise Frances Alifrangis | 2005 | 2000 - Bachelor of Arts (Justice Studies) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 2010 - Margin Lending & Geared Investments - Other - Kaplan Professional ~ 2012 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2014 - Self Managed Superannuation Funds - Other - Kaplan Professional ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Ko-chu Penny Chen | 2010 | 1997 - Bachelor of Business (International Business) - Bachelor Degree (AQF 7) - Queensland University of Technology ~ 1998 - Master of Professional Accounting - - Queensland University of Technology ~ 2007 - Diploma of Financial Services - - Mentor Education ~ 2013 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Mentor Education ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Luke Jarzynski | 1999 | 2004 - Diploma of Financial Plannin - Diploma (AQF 5) - Deakin University ~ 2009 - Masters of Financial Planning - Masters Degree (AQF 9) - University of Sunshine Coast ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Matthew Brown | 1989 | 2004 - Diploma of Financial Advising - - Securities Institute of Australia ~ 2012 - Diploma of Financial Services (Financial Planning) - - Securities Institute of Australia ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Melissa Clare Rawal | 2022 | 2007 - Bachelor of Commerce (Financial Planning & Investments) - Bachelor Degree (AQF 7) - Griffith University ~ 2010 - Margin Lending and Geared Investments - Certificate (AQF 1-4) - Kaplan ~ 2011 - Self Managed Superannuation Funds - Certificate (AQF 1-4) - Kaplan ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Michael Andrew Jones | 2018 | 2010 - Diploma of Financial Services (Financial Planning) FNS50804 - - Kaplan Professional ~ 2022 - Accredited Listed Product Adviser Program - Certificate (AQF 1-4) - Kaplan Professional ~ 2022 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - Curtin University ~ 2022 - SuperConcepts & ICFS Specialist SMSF course - Certificate (AQF 1-4) - University of Adelaide ~ 2023 - Masters of Financial Planning - Masters Degree (AQF 9) - Kaplan |
| Natalie Gaye Randall | 1998 | 1993 - Bachelore of Business (Accounting) - - Charles Sturt University ~ 2001 - Diploma of Financial Planning - - Deakin University ~ 2002 - CFP - Certified Financial Planner - - Financial Planning Association of Australia ~ 2009 - SMSF Adviser Education Program - - Financial Essentials ~ 2018 - Justice of Peace - - n/a |
| Natasha Johnson | 2016 | 2013 - Bachelor of Financial Planning/Bachelor of Accounting - Bachelor Degree (AQF 7) - Central Queensland University ~ 2016 - CFP Designation Program - Professional Designations - FAAA ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Preeyesh Rawal | 2006 | 2006 - Bachelor of Commerce (Financial Planning & Investment) - Bachelor Degree (AQF 7) - Griffith University ~ 2023 - Ethics & Professionalism in Financial Advivce - Bridging Course - Ethics - Kaplan |
| Rebecca Miller | 2011 | 2006 - Diploma Of Financial Services (Financial Planning) - - Kaplan Professional Education ~ 2011 - Self Managed Superannuation Funds - - Kaplan Professional Education ~ 2020 - Graduate Diploma of Financial Plan - Graduate Diploma (AQF 8) - Kaplan |
| Shane Fisher | 2006 | 2005 - Bachelor of Commerce (Accounting) - Bachelor Degree (AQF 7) - University of Southern Qld ~ 2007 - Diploma of Financial Services (Financial Planning) - - Kaplan Professional ~ 2009 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan ~ 2014 - Cavendish & ICFS Specialist SMSF Course - - University of Adelaide ~ 2020 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan |
| Tzu-hui Yang | 2022 | 2011 - B.Bus (Banking and Finance) - Bachelor Degree (AQF 7) - QUT ~ 2016 - Grad Diploma in Business (Applied Finance) - Graduate Diploma (AQF 8) - QUT ~ 2021 - Grad Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |