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;
retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
securities; 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;
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; and
superannuation;
to retail and wholesale clients.
| Name | First provided advice | Qualification and trainings |
|---|---|---|
| Callan Edward Townsend | 2023 | 2018 - Bachelor of Business and Commerce (Management) - Bachelor Degree (AQF 7) - Western Sydney University ~ 2018 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2021 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2021 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2022 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Caroline Rodrigues Herrmann | 2015 | 2008 - Bachelor of Business Administration - Bachelor Degree (AQF 7) - Federal University of Caxias do Sul ~ 2012 - Diploma of Management - Diploma (AQF 5) - Australian Pacific College ~ 2013 - Advanced Diploma (Other) - Advanced Diploma (AQF 6) - Australian Pacific College ~ 2014 - Diploma (unrelated) - Diploma (AQF 5) - Australian Pacific College ~ 2015 - Diploma of Financial Planning - Diploma (AQF 5) - Kaplan Professional ~ 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional ~ 2025 - Tax for Financial Advising - Other - Kaplan |
| Declan Bryce Wright | 2025 | 2024 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| Helio Brindeiro DE Souza | 2025 | 2022 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2023 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2023 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2023 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan Professional |
| James Wentworth Bucknell | 2001 | 1990 - Bachelor of Business (Accounting) - Bachelor Degree (AQF 7) - Western Sydney University ~ 2005 - Diploma of Financial Services (Financial Planning) - Diploma (AQF 5) - Kaplan Higher Education Pty Limited ~ 2010 - Margin Lending and Geared Investments - Other - Kaplan Higher Education Pty Limited ~ 2011 - Advanced Diploma of Financial Services (Financial Planning) - Advanced Diploma (AQF 6) - Kaplan Higher Education Pty Limited ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Higher Education Pty Limited |
| Tony William Borg | 1991 | 2002 - Diploma of Financial Planning - Diploma (AQF 5) - Financial Planning Association of Australia (FPA) ~ 2016 - Professional Diploma in Stockbroking - Diploma (AQF 5) - DeakinPrime ~ 2019 - FPC002B Ethics and Professionalism in Financial Advice - Bridging Course - Ethics - Kaplan Professional ~ 2020 - FPC001B Economic & Legal Context for Financial Planning - Bridging Course - Regulation & Legal Obligations - Kaplan Professional ~ 2020 - FPC007B Client Engagement Skills - Bridging Course - Behavioural Finance - Kaplan Professional ~ 2020 - Graduate Diploma of Financial Planning - Graduate Diploma (AQF 8) - Kaplan |