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 | Advanced Diploma of Financial Services (FP) - Kaplan Professional Education ~ Diploma of Financial Services (FP) - Tribeca Learning ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Fellow Chartered Financial Practitioner - Association of Financial Advisers ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| David Azon-jacometti | 2007 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Tribeca Learning ~ Margin Lending - Three Sixty Financial Planning ~ SMSF Specialist Adviser Program - SMSFA ~ Self-Managed Superannuation Funds - Kaplan Professional |
| David Hugh Pidcock | 2002 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Business & E-Commerce - Monash University ~ Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional |
| David Keith Brown | 1988 | Bachelor of Business - Queensland University of Technology ~ Diploma of Financial Planning - Deakin University |
| David Ronald Noyes | 2002 | Advanced Diploma of Financial Plannin - Mentor Education ~ Certificate 4 Financial Services (Finance/Mortgage Broking) - FARSTA ~ Commissioner of Declarations - Qld Government ~ Diploma of Financial Advising - Securities Institute of Australia |
| Denielle Petrice Penhaligon | 2018 | Bachelor of Business (Accounting) - Central Qld University ~ Diploma of Financial Planning - Deakin University ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Gregory Paul Tindall | 2003 | Bachelor Of Professional Studies - The University of New England ~ Certified Financial Planner - Financial Planning Association of Australia ~ Ethics and Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - FINSIA ~ Master Of Commerce (Applied Finance) - The University Of Queendland |
| Helen Carinus | 2014 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor Arts (Business Studies) - Bournemouth University (UK) ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan |
| Katie-louise Frances Alifrangis | 2005 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Arts (Justice Studies) - Queensland University of Technology ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Margin Lending & Geared Investments - Kaplan Professional ~ Self Managed Superannuation Funds - Kaplan Professional |
| Ko-chu Penny Chen | 2010 | Advanced Diploma of Financial Services - Mentor Education ~ Bachelor of Business (International Business) - Queensland University of Technology ~ Diploma of Financial Services - Mentor Education ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Master of Professional Accounting - Queensland University of Technology |
| Luke Jarzynski | 1999 | Diploma of Financial Planning - Deakin University ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Masters of Financial Planning - University of Sunshine Coast |
| Matthew Brown | 1989 | Diploma of Financial Advising - Securities Institute of Australia ~ Diploma of Financial Services (Financial Planning) - Securities Institute of Australia ~ Ethics & Professionalism in Financial Advice - Kaplan |
| Melissa Chamberlain | 2007 | Advanced Diploma of Financial Services (Financial Planning) - ThreeSixty ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Graduate Certificate of Financial Planning - Kaplan ~ Graduate Diploma of Financial Planning - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Melissa Clare Rawal | 2022 | Bachelor of Commerce in Financial Planning and Investments - Griffith University ~ Ethics & Professionalism in Financial Advice - Kaplan ~ Margin Lending and Geared Investments - Kaplan ~ Self Managed Superannuation Funds - Kaplan |
| Michael Andrew Jones | 2018 | Accredited Listed Product Adviser Program - Kaplan Professional ~ Bachelor of Commerce (Finance) - Curtin University ~ Diploma of Financial Services (Financial Planning) FNS50804 - Kaplan Professional ~ Masters of Financial Planning - Kaplan ~ SuperConcepts & ICFS Specialist SMSF course - University of Adelaide |
| Natalie Gaye Randall | 1998 | Bachelore of Business (Accounting) - Charles Sturt University ~ CFP - Certified Financial Planner - Financial Planning Association of Australia ~ Diploma of Financial Planning - Deakin University ~ Justice of Peace - n/a ~ SMSF Adviser Education Program - Financial Essentials |
| Preeyesh Rawal | 2006 | Bachelor of Commerce (in Financial Planning and Investment) - Griffith University ~ Ethics and Professionalism in Financial Advice - Kaplan |
| Rebecca Miller | 2011 | Diploma Of Financial Services (Financial Planning) - Kaplan Professional Education ~ Ethics & Professionalism in Financial Planning - Kaplan ~ Graduate Diploma of Financial Plan - Kaplan ~ Self Managed Superannuation Funds - Kaplan Professional Education |
| Shane Fisher | 2006 | Advanced Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Bachelor of Commerce (Accounting) - University of Southern Queensland ~ Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Diploma of Financial Services (Financial Planning) - Kaplan Professional ~ Ethics & Professionalism in Financial Planning - Kaplan |
| Troy Raemond | 2001 | Cavendish & ICFS Specialist SMSF Course - University of Adelaide ~ Diploma of Financial Planning - Deakin ~ Margin Lending and Geared Investments - Kaplan ~ Master of Financial Planning - University of Sunshine Coast |
| Tzu-hui Yang | 2022 | B.Bus (Banking and Finance) - QUT ~ Grad Diploma in Business (Applied Finance) - QUT ~ Grad Diploma of Financial Planning - Kaplan |