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 | Advanced Diploma of Financial Planning - Kaplan Professional ~ Diploma of Financial Planning - Kaplan Professional ~ Graduate Certificate in Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Irene Chau | 2008 | Bachelor of Business - Edith Cowan University (ECU) ~ Bachelor of Commerce (Accounting & Finance) - University of Western Australia ~ Diploma of Financial Services (Financial Planning) - Australian College of Professionals ~ Master of Business - Edith Cowan University (ECU) |
| John Morgan | 2012 | Diploma of Financial Planning - Pinnacle Financial Services Academy |
| Jovan Videkanic | 2006 | Advanced Diploma of Financial Planning - Mentor Education ~ Diploma of Financial Services (Financial Planning) - Pinnacle Financial Services Academy |
| Mark Andrew Horrocks | 2000 | Advanced Diploma of Financial Planning - Mentor |
| Matthew Simon Bradley | 2015 | Advanced GNVQ - Business Studies, Grade Merit - Stroud Sixth Form College, Gloucestershire (UK) ~ Diploma of Financial Planning - Integrity Education Group ~ Diploma of Financial Planning - Integrity Education Group ~ Post Graduate course in Management Studies - Uxbridge College (UK) |
| Pardeep Singh | 2018 | Advanced Diploma of Financial Planning - Integrity Education Group ~ Diploma of Financial Planning - Integrity Education Group ~ Ethics and Professionalism in Financial Advice - Ethics and Professionalism in Financial Advice ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Master of Financial Planning - Kaplan Professional |
| Rajdeepsinh Parmar | 2017 | Diploma of Financial Planning - Monarch Institute |
| Raluca Elena Terheci | 2020 | Bachelor of Finance (Financial Planning major) - La Trobe University ~ Ethics and Professionalism in Financial Advice - Kaplan Professional |
| Robert Crossing | 2013 | Advanced Diploma of Financial Planning - Investment Banking Institute ~ Diploma of Financial Planning - Investment Banking Institute ~ SMSF Accreditation - THe Universtity of Adelaide |
| Rocco D'amelio | 2008 | Advanced Diploma in Financial Services - Integrity Education Group ~ Certificate IV in Financial Services - The National Finance Institute ~ Diploma of Financial Services - Traineeship Management Australia |
| Simon Hugh Hanley | 1991 | Diploma of Financial Planning - Financial Planning Association (FPA) ~ Master of Business Administration - Massey University |
| Susan Helen Jones | 2007 | Diploma of Financial Services (Financial Planning) - Mentor ~ Diploma of Financial Services (Financial Planning) - Mentor ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Graduate Diploma of Financial Planning - Kaplan Professional ~ Self-Managed Superannuation Fund Adviser (Personal Advice) - Mentor ~ Self-Managed Superannuation Fund Adviser (Personal Advice) - Mentor |
| Tyson Clay Holmes | 2015 | Diploma of Financial Planning - Mentor Education |
| Wade Lance Spooner | 2013 | Bachelor of Commercer (Finance) - Griffith U niversity ~ Bachelor of International Business - Griffith University ~ Certified Financial Planner - Financial Planning Association of Australia ~ Graduate Diploma of Financial Planning - Monarch Institute |