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 limited to:
old law securities options contracts and warrants;
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;
derivatives limited to:
old law securities options contracts and warrants;
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 |
|---|---|---|
| Bhanu Chanakya Lokubalasuriya | 2017 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Kaplan Professional ~ 2017 - Graduate Certificate in Financial Planning - Graduate Certificate (AQF 8) - Kaplan Professional ~ 2018 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2018 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Irene Chau | 2008 | 1995 - Bachelor of Commerce (Accounting & Finance) - - University of Western Australia ~ 1997 - Bachelor of Business - - Edith Cowan University (ECU) ~ 1999 - Master of Business - - Edith Cowan University (ECU) ~ 2008 - Diploma of Financial Services (Financial Planning) - - Australian College of Professionals |
| John Morgan | 2012 | 2011 - Diploma of Financial Planning - - Pinnacle Financial Services Academy |
| Jovan Videkanic | 2006 | 2007 - Diploma of Financial Services (Financial Planning) - - Pinnacle Financial Services Academy ~ 2018 - Advanced Diploma of Financial Planning - - Mentor Education |
| Mark Andrew Horrocks | 2000 | 2015 - Advanced Diploma of Financial Planning - - Mentor |
| Matthew Simon Bradley | 2015 | 1997 - Advanced GNVQ - Business Studies, Grade Merit - - Stroud Sixth Form College, Gloucestershire (UK) ~ 2004 - Post Graduate course in Management Studies - - Uxbridge College (UK) ~ 2014 - Diploma of Financial Planning - - Integrity Education Group |
| Pardeep Singh | 2018 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Integrity Education Group ~ 2017 - Advanced Diploma of Financial Planning - Advanced Diploma (AQF 6) - Integrity Education Group ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Ethics and Professionalism in Financial Advice ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2023 - Master of Financial Planning - Masters Degree (AQF 9) - Kaplan Professional |
| Rajdeepsinh Parmar | 2017 | 2016 - Diploma of Financial Planning - Diploma (AQF 5) - Monarch Institute |
| Raluca Elena Terheci | 2020 | 2019 - Bachelor of Finance (Financial Planning major) - Bachelor Degree (AQF 7) - La Trobe University ~ 2020 - Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional |
| Robert Crossing | 2013 | 2013 - Diploma of Financial Planning - - Investment Banking Institute ~ 2016 - Advanced Diploma of Financial Planning - - Investment Banking Institute ~ 2018 - SMSF Accreditation - - THe Universtity of Adelaide |
| Rocco D'amelio | 2008 | 2007 - Certificate IV in Financial Services - - The National Finance Institute ~ 2010 - Diploma of Financial Services - - Traineeship Management Australia ~ 2016 - Advanced Diploma in Financial Services - - Integrity Education Group |
| Simon Hugh Hanley | 1991 | 1985 - Master of Business Administration - - Massey University ~ 2006 - Diploma of Financial Planning - - Financial Planning Association (FPA) |
| Susan Helen Jones | 2007 | 2007 - Diploma of Financial Services (Financial Planning) - - Mentor ~ 2018 - Self-Managed Superannuation Fund Adviser (Personal Advice) - - Mentor ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Tyson Clay Holmes | 2015 | 2014 - Diploma of Financial Planning - - Mentor Education |
| Wade Lance Spooner | 2013 | 2012 - Bachelor of Commercer (Finance) - Bachelor Degree (AQF 7) - Griffith U niversity ~ 2012 - Bachelor of International Business - Bachelor Degree (AQF 7) - Griffith University ~ 2013 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Monarch Institute ~ 2019 - Certified Financial Planner - Professional Designations - Financial Planning Association of Australia |