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;
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;
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;
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 |
|---|---|---|
| Andrew Torney | 2005 | 2004 - Bachelor of Business (Ecomomic and Finance) - - RMIT University ~ 2004 - Bachelor of Business (Economics and Finance) - - RMIT University ~ 2010 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2018 - RG146 Licensing Compliance: Margin Lending Facilities - Other - Kaplan Professional ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Christopher Simm | 2014 | 2013 - Bachelor of Commerce - - Deakin University ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Courtney Robinson | 2013 | 2012 - Bachelor of Management (Financial Planning) - - Deakin University ~ 2015 - Diploma of Financial Planning - - KAPLAN Professional ~ 2018 - Certified Financial Planner - - Financial Planning Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| David Howie | 2011 | 2000 - Bachelor of Arts - Bachelor Degree (AQF 7) - Victoria University of Technology ~ 2013 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Professional Education ~ 2013 - Diploma of Financial Services - Diploma (AQF 5) - Kaplan ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association (FPA) ~ 2022 - Ethics & Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Kate Officer | 2014 | 2012 - Bachelor of Commerce - - Deakin University ~ 2014 - Accredited Aged Care Specialist - Other - Aged Care Steps ~ 2018 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Lesley Dana Duncan | 2002 | 1990 - Associate Diploma of Business (Accounting) - - Gordon Institute of TAFE ~ 1994 - Bachelor of Commerce - - Deakin University |
| Martin Allison | 2007 | 2003 - Bachelor of Commerce (Accounting and Finance) - Bachelor Degree (AQF 7) - Monash University ~ 2008 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia ~ 2008 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - FINSIA ~ 2012 - Margin Lending - Other - Kaplan Professional Education ~ 2012 - Self Managed Superannuation Funds - Other - Kaplan Professional Education |
| Matthew John Baum | 2007 | 2000 - CFP - - Financial Planning Association of Australia (FPA) ~ 2001 - Bachelor of Commerce - Bachelor Degree (AQF 7) - Curtin University ~ 2004 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - AMP/ NSW Vocational and Training Accreditation Board ~ 2007 - Advanced Diploma of Financial Services - Advanced Diploma (AQF 6) - Tribeca Leaning (Aust) Pty Ltd ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Matthew Torney | 2014 | 2006 - Bachelor of Commerce - - The University of Melbourne ~ 2010 - Diploma of Financial Services (Financial Planning) - - KAPLAN Professional ~ 2012 - Advanced Diploma of Financial Planning - - MLC Advice Education ~ 2016 - Certified Financial Planner - - Financial Planning Association of Australia ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Max Grant | 2018 | 2018 - Bachelor of Commerce - - Deakin University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University ~ 2024 - Certified Financial Planner - Professional Designations - Financial Advice Association Australia |
| Melinda Planken | 2008 | 2008 - Bachelor of Commerce - - Deakin University ~ 2011 - Certified Financial Planner - - Financial Planning Association ~ 2014 - Accredited Aged Care Specialist - - Aged Care Steps ~ 2018 - RG146 Licensing Compliance: Margin Lending Facilities - Other - Financial Education Professionals Pty Ltd ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Rianna Dell Jochum | 2018 | 2012 - Bachelor of Commerce (Accounting & Financial Planning) - Bachelor Degree (AQF 7) - Griffith University ~ 2015 - Bachelor Commerce (Accounting Financial Planning) - Bachelor Degree (AQF 7) - Deakin University |
| Samuel William Gall | 2023 | 2022 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin |
| Tamara Carman | 2010 | 2008 - Bachelor of Commerce - - Deakin University ~ 2012 - Certified Financial Planner - - Financial Planning Association ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| William Raleigh | 2023 | 2019 - Bachelor of Business (International Business) - Bachelor Degree (AQF 7) - University of Newcastle ~ 2019 - Bachelor of Commerce (Finance) - Bachelor Degree (AQF 7) - University of Newcastle ~ 2021 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Deakin University ~ 2022 - Accredited Listed Product Adviser Program - Other - Kaplan Professional |
| Zachary Dodds | 2018 | 2017 - Bachelor of Commerce - - Deakin University ~ 2019 - Accredited Aged Care Specialist - Other - Aged Care Steps ~ 2019 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2021 - FPA Aged Care Specialist - Other - Financial Planning Association ~ 2021 - Master of Financial Planning - Masters Degree (AQF 9) - Deakin University |